Reg BI

There are Recent Customer Complaints with Broker James Mccarthy in Firm Charles Schwab & Co., INC.

March 23, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Mccarthy (Mccarthy), previously associated with Charles Schwab & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Mccarthy 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 $13,068.94 on November 02, 2020.

Client alleges that the representative recommended and placed a limit order on an opening option order on June 2, 2020, which the client claims caused him (the client) to place limit orders for multiple closing orders, for the same option, when the client placed orders himself online on June 3, 2020.

There are Recent Customer Complaints with Broker Robert Blake in Firm Cambridge Investment Research, INC.

March 23, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Blake (Blake), previously associated with Cambridge Investment Research, INC., has at least one disclosable event. These events include one customer complaint, alleging that Blake 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 $50,000.00 on November 02, 2020.

SOC alleges sale of unsuitable investments.

There are Recent Customer Complaints with Broker Katherine Markowski in Firm Osaic Wealth, INC.

March 22, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Katherine Markowski (Markowski), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Markowski 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 $44,000.00 on November 06, 2020.

Customer alleges the representative made a recommendation that did not meet the clients’ needs and allegedly caused losses.

Broker Christopher Phillips in RBC Capital Markets, LLC Firm Has Customer Complaint

March 22, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Phillips (Phillips), currently associated with RBC Capital Markets, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Phillips 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 $367,452.00 on November 06, 2020.

The claimant alleged he suffered a net loss of more than 65% of his Employee Pension IRA Account value due to the FA’s failure to properly diversify the account and by their discretionary purchase of single company stocks almost all in oil and gas or energy sectors that were not appropriate for the client’s objectives or risk tolerance.

Broker Nicholas Webster in RBC Capital Markets, LLC Firm Has Customer Complaint

March 22, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on November 04, 2020.

Client alleged changes authorized in an email to her financial advisor in February 2020 were not completed. Based on the claim, per receipt of client’s letter on November 4, 2020, client requests that her accounts be restored to their January 2, 2020 values.

Broker Matthew Genco in Morgan Stanley Firm Has Customer Complaint

March 22, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Genco (Genco), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Genco 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 $5,162,453.00 on November 03, 2020.

Claimants alleged misrepresentation with respect to option strategy in managed accounts – January 2019 to January 2020.

Broker Betty Fenton in LPL Enterprise, LLC Firm Has Customer Complaint

March 22, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Betty Fenton (Fenton), previously associated with LPL Enterprise, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Fenton 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 $69,000.00 on November 04, 2020.

Claimant alleges that he was recommended unsuitable alternative investments, FSKR and Watermark Lodging Trust, for his retirement account.

There are Recent Customer Complaints with Broker Kevin Mcwilliams in Firm Sei Investments Distribution CO.

March 22, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Mcwilliams (Mcwilliams), currently associated with Sei Investments Distribution CO., has at least one disclosable event. These events include one customer complaint, alleging that Mcwilliams 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 $50,000.00 on November 03, 2020.

Claimant alleges that the purchase of FS Investment Corporation III was unsuitable because of the value of this now publicly-traded company allegedly decreased. Activity period 2/2015-11/2020

Broker Kenneth Collins in Union Capital Company Firm Has Customer Complaint

March 22, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on November 10, 2020.

Violation of Common Law Fraud, Breach of Fiduciary Duty, Negligence.

There are Recent Customer Complaints with Broker Luis Vivas Sardi in Firm Miura Capital, LLC

March 22, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on November 10, 2020.

Client verbally complained that Financial Advisor neglected to enter an order to exchange a foreign debt issue as instructed. The client then sold the bonds at a price lower than the exchange price and was compensated for the price differential. (7/27/2020)