Reg BI

Broker Eric Tom in MML Investors Services, LLC Firm Has Customer Complaint

October 1, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on November 28, 2022.

The complainant alleges that his Jackson National Individual Deferred Variable and Fixed Annuity contracts, that were purchased in January 2006, were mismanaged by his registered representative, which resulted in a loss of his retirement savings, and the registered representative breached his fiduciary duty, and contract, and made misrepresentations.

There are Recent Customer Complaints with Broker David Dalton in Firm LPL Financial LLC

October 1, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on November 28, 2022.

Customer alleged failure to follow instructions in advisory account. (3/18/20-1/11/21)

Broker Phil Wheat in Ameriprise Financial Services, LLC Firm Has Customer Complaint

October 1, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Phil Wheat (Wheat), previously associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Wheat 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 $14,391.00 on November 29, 2022.

Poor advice and financial planning.

There are Recent Customer Complaints with Broker William Stokes in Firm Berthel, Fisher & Company Financial Services, INC.

October 1, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on November 30, 2022.

The clients allege the investments purchased from 2013-2017 were unsuitable.

There are Recent Customer Complaints with Broker James Armour in Firm Ausdal Financial Partners, INC.

October 1, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Armour (Armour), currently associated with Ausdal Financial Partners, INC., has at least one disclosable event. These events include one customer complaint, alleging that Armour 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 $150,000.00 on November 28, 2022.

Suitability, Breach of Fiduciary Duty, Lack of Due Diligence, Lack of Supervision related to Bakkan Drilling Fund investments in 2013.

There are Recent Customer Complaints with Broker Jenna Hill in Firm Equitable Advisors, LLC

September 30, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on December 01, 2022.

Client alleges the RR misrepresented the charges associated with a term conversion to a variable policy in 2021.

There are Recent Customer Complaints with Broker Samuel Rosis in Firm UBS Financial Services INC.

September 30, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on December 07, 2022.

Time Frame: May 12th, 2021 to May12th, 2021\, \, What were the allegations against the individual? The client alleges unauthorized trading. The alleged damages are in excess of $5,000.00.

Broker Carson Pope in Sanford C. Bernstein & Co., LLC Firm Has Customer Complaint

September 30, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on December 01, 2022.

Client alleges that the charges associated with a term conversion to a variable policy in 2021 were misrepresented.

Broker Nicholas Bliss in Osaic Wealth, INC. Firm Has Customer Complaint

September 30, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nicholas Bliss (Bliss), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Bliss 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 $20,000.00 on December 05, 2022.

Customer alleges that an unauthorized purchase resulted in losses.

There are Recent Customer Complaints with Broker Elio Chiarelli in Firm Ifp Securities, LLC

September 30, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Elio Chiarelli (Chiarelli), previously associated with Ifp Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Chiarelli 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 $200,000.00 on December 06, 2022.

When your financial advisor is providing advice they must adhere to the SEC’s Regulation Best Interest (Reg BI) rule and standard of care. Reg BI replaced the former “suitability” rule and created a ‘best interest’ standard for brokerage firms and registered representatives. 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 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.