Articles Posted in Reg BI

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

FINRA BrokerCheck shows a pending customer complaint on September 10, 2025.

The complainant alleges that the rep advised her to transfer her assets to his firm in 2024 but didn’t disclose the significant capital gains that she would experience when doing this, or the effect this transaction would have on other financial decisions that she made that year, and resulted in a large tax bill

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Darryl Goldstein (Goldstein), previously associated with Westpark Capital, INC., has at least one disclosable event. These events include one customer complaint, alleging that Goldstein 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 $25,000.00 on September 06, 2025.

Customer alleges that in or about December 2022 the representative recommended and processed a $25,000 NYIAX 12% convertible note and made assurances that an IPO was imminent; customer alleges non-payment of principal and interest and seeks repayment.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gregory Cunningham (Cunningham), currently associated with Raymond James Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Cunningham 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 $150,000.00 on September 11, 2025.

Relative of FA’s spouse alleges FA breached a fiduciary duty by liquidating some of her investments to fund a loan she made to the FA.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Jackson (Jackson), currently associated with Capital Investment Group, INC., 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 pending customer complaint with a damage request of $159,000.00 on September 15, 2025.

Clients invested in GWG Holdings L-Bonds and two annuity products. GWG Holdings, Inc. filed Chapter 11 bankruptcy on April 20, 2022. The Statement of Claim alleges breach of fiduciary duty, negligence & Regulation Best Interest.

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

FINRA BrokerCheck shows a pending customer complaint on September 09, 2025.

Customer alleges that in October 2014 , representative recommended an investment in an income fund that was unsuitable for the customer's investment profile and risk tolerance.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Lerner (Lerner), currently associated with David Lerner Associates, INC., has at least 3 disclosable events. These events include 3 customer complaints, alleging that Lerner 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 $192,000.00 on September 08, 2025.

July 17, 2018 the date of the first purchase of Energy 12 to September 8, 2025 the date the SOC was received.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Howard Roth (Roth), currently associated with David Lerner Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Roth 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 $125,000.00 on September 08, 2025.

October 22, 2015 the date of the first purchase of Energy 11 to September 8, 2025  the date the SOC was received.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Baron Jacobs (Jacobs), previously associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Jacobs 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 $211,122.62 on October 20, 2022.

The customer alleged that her Registered Representative misquoted the proposed annuity payments she would receive when she purchased a fixed annuity in June 2022.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Rolando Perez (Perez), previously associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Perez 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 $140,000.00 on October 24, 2022.

Claimant approaced defendent in March or April 2021 to help ascertain funding for company. Defendant introduced claimant to a bank to secure a line of credit. Around 7/6/2021 claimant wired $280,000 to bank. Unable to obtain the line of credit and other funding, the defendant requested funds on 6/28/2022. $140,000 was repaid on 7/16/2022. The balance was not paid by the due date of 8/30/2022. Claimant is suing for amount plus costs and damages.

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

FINRA BrokerCheck shows a settled customer complaint on October 23, 2022.

5/14/21 – 5/14/21

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