Reg BI

There are Recent Customer Complaints with Broker John Williams in Firm Dominari Securities LLC

October 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Williams (Williams), currently associated with Dominari Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Williams recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $5,000.00 on August 28, 2025.

Client claims unsuitability.

Broker Kyle Mclaughlin in RBC Capital Markets, LLC Firm Has Customer Complaint

October 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kyle Mclaughlin (Mclaughlin), currently associated with RBC Capital Markets, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mclaughlin recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on September 05, 2025.

Client alleges, inter alia, unsuitability with respect to FA’s recommendation to open a Liquidity Access Line for investment purposes – Apr 2024 – Aug 2024.

There are Recent Customer Complaints with Broker T Thompson in Firm Truist Investment Services, INC.

October 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker T Thompson (Thompson), previously associated with Truist Investment Services, INC., has at least 3 disclosable events. These events include 3 customer complaints, alleging that Thompson recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on September 02, 2025.

Client alleges that their accounts were mismanaged and moved to cash without their consent resulting in financial damage.

There are Recent Customer Complaints with Broker Timothy Yee in Firm Independent Financial Group, LLC

October 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Timothy Yee (Yee), currently associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Yee recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on August 29, 2025.

Claims investments were not suitable, breach of fiduciary duty and financial abuse of an elderly person.

Broker Peter Mersberger in Purshe Kaplan Sterling Investments Firm Has Customer Complaint

October 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Peter Mersberger (Mersberger), currently associated with Purshe Kaplan Sterling Investments, has at least one disclosable event. These events include one customer complaint, alleging that Mersberger recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on August 29, 2025.

Claimants alleged that the Representative recommended multiple alternative investment products that resulted in substantial losses. Claimants further alleged that Representative misrepresented the risks and potential for future income and growth of the product(s).

Broker Cynthia Price in Equitable Advisors, LLC Firm Has Customer Complaint

October 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Cynthia Price (Price), currently associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Price recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $5,000.00 on September 03, 2025.

Client alleges the RR made trades in the account without their knowledge or consent.

Broker James Garrity in Morgan Stanley Firm Has Customer Complaint

October 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Garrity (Garrity), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Garrity recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on August 28, 2025.

Claimant alleges, inter alia, misrepresentation with respect to covered call option strategy – 2023-to 2025

There are Recent Customer Complaints with Broker John Nole in Firm Paulson Investment Company LLC

October 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Nole (Nole), currently associated with Paulson Investment Company LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Nole recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $15,000.00 on September 04, 2025.

Client invested 15k in GWG L Bonds in December 2020. Alleges recommendations were not consistent with standards of care mandated by FINRA’s suitability rule or the SEC’s Reg BI.

There are Recent Customer Complaints with Broker Kenneth Davis in Firm Capital Investment Group, INC.

October 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kenneth Davis (Davis), currently associated with Capital Investment Group, INC., has at least one disclosable event. These events include one customer complaint, alleging that Davis recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $13,000.00 on September 02, 2025.

The client believed that the registered representative failed to inform him that the cash value of a Variable Universal Life contract was being reduced to cover premiums. As a result, the prior cash values were exhausted, and a policy lapse was imminent. The client claimed that, had he been aware, he would have surrendered the policy and received the cash value. Effective date of policy was 12/22/1998. The representative’s current firm, Capital Investment Group, Inc., was not a party to the complaint, as the contract was sold at the representative’s prior firm.

There are Recent Customer Complaints with Broker Peter Black in Firm UBS Financial Services INC.

October 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Peter Black (Black), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Black recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $9,900,000.00 on August 29, 2025.

Time frame: 2023-present\, Claimant alleges she only provided authorization to sell half of her shares of Zeta Global Holdings, but that her FA Peter Black sold her entire position. She also alleges she was charged a 3% commission on these shares sold even though they agreed upon a 1% commission.