Articles Posted in Reg BI

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Barber (Barber), currently associated with Glendale Securities, INC. / Techspeed Clearing LLC, has at least one disclosable event. These events include one customer complaint, alleging that Barber 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 $40,000,000.00 on September 15, 2025.

This Complaint details Defendants’ long-running, ongoing, securities fraud \, scheme that has defrauded investors of at least $40 million. From 2015-2023, Defendants \, sold shares in numerous corporate entities by falsely claiming that these entities had \, developed industry-disrupting technologies.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Stames (Stames), currently associated with Oppenheimer & CO. INC., has at least one disclosable event. These events include one customer complaint, alleging that Stames 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 $181,500.00 on October 24, 2025.

Claimant-beneficiary of a non-party client-trust asserts that Respondents were negligent and aided the trustee of the client-trust in embezzling funds from the client-trust, as well as failing to provide information requested by claimant. From 1/11/2024 to 10/23/2025

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Thompson (Thompson), previously associated with the O.n. Equity Sales Company, has at least one disclosable event. These events include one customer complaint, alleging that Thompson 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 $2,325,953.00 on October 17, 2025.

The lawsuit alleges Thompson misappropriated monies awarded to the customer via damages associated with a commercial vehicle event to his own use between September 2023 and August 2025.

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

FINRA BrokerCheck shows a pending customer complaint on November 02, 2025.

Customer alleges registered representative  did not follow trade instructions. Activity dates August 21, 2024 to September 30,2025.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Josiah Lederman (Lederman), currently associated with Concorde Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lederman 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 $500,000.00 on November 04, 2025.

Client is alleging breach of fiduciary duty, failure to supervise, unsuitable recommendation & failure to perform proper due diligence regarding 2022 investments.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Amit Urban (Urban), currently associated with Concorde Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Urban 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 $475,000.00 on November 03, 2025.

Client is alleging failure to conduct proper due diligence, misrepresentation, omissions, and unsuitable recommendation related to January 2023 investment.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Palma (Palma), previously associated with Spartan Capital Securities, LLC, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Palma recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on November 03, 2025.

Negligent, Failure to Supervise , Unjust Enrichment , Violations of Stae Securities Act.

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

FINRA BrokerCheck shows a pending customer complaint on November 02, 2025.

Customer alleges registered representative did not follow trade instructions. Activity dates August 21, 2024 to September 30,2025.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Patrick Durst (Durst), currently associated with Lifemark Securities Corp., has at least one disclosable event. These events include one customer complaint, alleging that Durst 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 $100,000.00 on November 03, 2025.

Allegations pertain to investment in an alternative product intended to be a small component of a larger diversified portfolio and annuity purchases. Investments were purchased from 05/2020 to 06/2021. Allegations include: unsuitable recommendation, violation of Regulation Best Interest, and breach of fiduciary duty. Client is seeking between $100,000 and $500,000 and costs and fees.

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

FINRA BrokerCheck shows a pending customer complaint on November 03, 2025.

These alleigation are for all three claiants, indivdual is broker of record for one claimant only. Breach of fidciary duty, Negligence, excesive trading, faiure to supervise

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