Reg BI

Broker Lizbeth Bloom in Arive Capital Markets Firm Has Customer Complaint

March 27, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lizbeth Bloom (Bloom), previously associated with Arive Capital Markets, has at least one disclosable event. These events include one customer complaint, alleging that Bloom 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 $120,000.00 on October 05, 2020.

Unauthorized Trading

There are Recent Customer Complaints with Broker Quinn Vitelli in Firm Bb & t Investment Services, INC.

March 27, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Quinn Vitelli (Vitelli), previously associated with Bb & t Investment Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Vitelli 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 $22,000.00 on October 08, 2020.

Claimant alleges that he was recommended unsuitable alternative investments.

Broker Allan Klenke in Morgan Stanley Firm Has Customer Complaint

March 27, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Allan Klenke (Klenke), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Klenke 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 $1,700,000.00 on October 09, 2020.

Time frame: 2016-2020 Claimant’s counsel alleges unsuitability and misrepresentation with respect to recommendations to invest in and hold an options overlay strategy.

There are Recent Customer Complaints with Broker Robert Ladino in Firm Idb Capital Corp.

March 27, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Ladino (Ladino), currently associated with Idb Capital Corp., has at least one disclosable event. These events include one customer complaint, alleging that Ladino 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 $500,000.00 on October 06, 2020.

Customers alleged that in 2011 and 2013 RR recommended they purchase and hold foreign corporate bonds that were not suitable and did not diversify their accounts.

Broker Theodore Jackson in Ameriprise Financial Services, LLC Firm Has Customer Complaint

March 27, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on October 05, 2020.

Claimant alleges that she transferred her investment in a REIT ETN to Ameriprise and Respondents failed to recommend that she change her investments and seeks damages in an unspecified amount.

Broker William Slepcevich in Osaic Wealth, INC. Firm Has Customer Complaint

March 27, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Slepcevich (Slepcevich), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Slepcevich 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 $5,000.00 on October 03, 2020.

Allegations of unsuitable investment recommendation related to a business development company

There are Recent Customer Complaints with Broker Norman Robbins in Firm Ameriprise Financial Services, LLC

March 27, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Norman Robbins (Robbins), currently associated with Ameriprise Financial Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Robbins 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 $100,000.00 on October 02, 2020.

Alleged overconcentration in real estate investments, commodity funds and energy stocks.

Broker Leo Galanti in Raymond James Financial Services, INC. Firm Has Customer Complaint

March 27, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Leo Galanti (Galanti), previously associated with Raymond James Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Galanti 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 $1,200,000.00 on October 01, 2020.

Clients allege unsuitable investments using margin. 08/25/2010 06/30/2020.

There are Recent Customer Complaints with Broker Tawnya Schwartz in Firm MML Investors Services, LLC

March 26, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on October 09, 2020.

The complainant alleges his signature was forged multiple times, without his knowledge or consent on an application for a variable annuity, which was issued on May 31, 2017.

There are Recent Customer Complaints with Broker Coleman Benko in Firm the Strategic Financial Alliance, INC.

March 26, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Coleman Benko (Benko), currently associated with the Strategic Financial Alliance, INC., has at least one disclosable event. These events include one customer complaint, alleging that Benko 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 $75,000.00 on October 13, 2020.

In the financial industry advisors must meet the requirements of the SEC’s Regulation Best Interest (Reg BI) in providing investment advice and services. Reg BI established a ‘best interest’ standard for brokerage firms and registered representatives. Reg BI applies when brokers recommend a retail investor engage in securities transaction or an investment strategy involving one or more securities. Reg BI also applies to financial advice concerning the transfer of funds and opening of accounts. This standard applies when brokers make recommendations to retail customer for any securities transaction or investment strategy involving securities, including recommendations of types of accounts.