Articles Posted in Reg BI

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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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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Erik Alexander (Alexander), currently associated with Cetera Wealth Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Alexander 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 $270,000.00 on October 20, 2022.

Claimant alleges that in 2016 the Representative misrepresented that certain investments, such as a Real Estate Investment Trust, were conservative, secure, and did not carry any significant risks, and the Claimant suffered estimated losses in excess of $270,000.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Martin (Martin), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Martin 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 24, 2022.

The client alleges that the financial advisor did not follow their instructions to not invest certain funds in their account.

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