Reg BI

There are Recent Customer Complaints with Broker Manoj Nigam in Firm Tpeg Securities, LLC

May 6, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Manoj Nigam (Nigam), currently associated with Tpeg Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Nigam 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 $265,000.00 on May 15, 2020.

Financial Advisors providing advice to retail investors are required to adhere to the SEC’s Regulation Best Interest (Reg BI). Reg BI applies a ‘best interest’ standard for broker-dealers and their associated people. This Reg BI standard of care applies to registered representatives making recommendations to customers in the purchase, sale, or exchange of securities or the implementation of investment strategies involving securities and non-securities. The rule also applies to the handling of opening accounts such as account transfers and types of accounts being recommended to be opened. 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.

There are Recent Customer Complaints with Broker Andrew Katsanis in Firm Morgan Stanley

May 6, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on May 14, 2020.

Client alleged, inter alia, unauthorized trading with respect to mutual fund investments – January 2020 to May 2020.

There are Recent Customer Complaints with Broker Geoffrey Hunter in Firm Allied Millennial Partners, LLC

May 6, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Geoffrey Hunter (Hunter), previously associated with Allied Millennial Partners, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hunter 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 $15,000.00 on May 15, 2020.

Failure to execute trade

Broker Matthew Shull in LPL Enterprise, LLC Firm Has Customer Complaint

May 6, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on May 18, 2020.

Verbal complaint was initially received on 1/13/2020, however, it did not meet our criteria for re-portability and is only being reported now due to the settlement of $17,229.58.

There are Recent Customer Complaints with Broker Mark Reffett in Firm Arkadios Capital

May 6, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Reffett (Reffett), currently associated with Arkadios Capital, has at least one disclosable event. These events include one customer complaint, alleging that Reffett 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 $1,575,881.00 on May 15, 2020.

Claimants allege an unsuitable investment strategy in alternative investments beginning in 2014 and continuing to 2016.

Broker Ronald Radner in Raymond James Financial Services, INC. Firm Has Customer Complaint

May 6, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ronald Radner (Radner), currently associated with Raymond James Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Radner 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 $475,000.00 on May 15, 2020.

Claimant alleges that in connection with an annuity surrender in or about December 2015 and subsequent investments the respondent breached its fiduciary duty, made unsuitable recommendations, committed fraud and/or was negligent, respondeat superior and failure to supervise, negligent supervision, failure to protect claimant’s assets, breach of contract, and violation of industry rules.

There are Recent Customer Complaints with Broker Sanjay Chandra in Firm Tpeg Securities, LLC

May 6, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sanjay Chandra (Chandra), currently associated with Tpeg Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Chandra 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 $265,000.00 on May 15, 2020.

Financial Advisors providing advice to retail investors are required to adhere to the SEC’s Regulation Best Interest (Reg BI). Reg BI applies a ‘best interest’ standard for broker-dealers and their associated people. This Reg BI standard of care applies to registered representatives making recommendations to customers in the purchase, sale, or exchange of securities or the implementation of investment strategies involving securities and non-securities. The rule also applies to the handling of opening accounts such as account transfers and types of accounts being recommended to be opened. 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.

There are Recent Customer Complaints with Broker Dustin Terry in Firm Great Point Capital LLC

May 6, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dustin Terry (Terry), previously associated with Great Point Capital LLC, has at least one disclosable event. These events include one customer complaint, alleging that Terry 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 $250,000.00 on May 19, 2020.

Unsuitable, illiquid products

Broker Edwin Egger in LPL Financial LLC Firm Has Customer Complaint

May 6, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on May 16, 2020.

Customer alleged that investment in etf’s was based on inaccurate and misleading information, that losses of over $18,000 had resulted, and requested reimbursement. Activity period – 11/15/19 to 4/6/20.

Broker Ralph Principe in Aegis Capital Corp. Firm Has Customer Complaint

May 6, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ralph Principe (Principe), previously associated with Aegis Capital Corp., has at least one disclosable event. These events include one customer complaint, alleging that Principe 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 May 18, 2020.

Time Frame: 2013-2015. Allegations include unsuitable use of margin and poor performance.