Reg BI

Broker Anthony Abrams in Woodbury Financial Services, INC. Firm Has Customer Complaint

April 24, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Anthony Abrams (Abrams), previously associated with Woodbury Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Abrams 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 August 07, 2020.

Customer alleges unauthorized trading of accounts.

There are Recent Customer Complaints with Broker David Volpe in Firm First Financial Equity Corporation

April 24, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on August 06, 2020.

Claimant alleges that between 2015 and April 2019, representative converted her funds by liquidating her accounts for his own personal use and by requesting claimant to write personal checks to him.

There are Recent Customer Complaints with Broker Pedro J Pons in Firm UBS Financial Services Incorporated of Puerto Rico

April 24, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Pedro J Pons (Pons), previously associated with UBS Financial Services Incorporated of Puerto Rico, has at least one disclosable event. These events include one customer complaint, alleging that Pons 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 $90,000.00 on August 11, 2020.

Time frame: Unspecified\<char_lb_r>\, Claimants allege the recommendation to invest in and hold Puerto Rico Closed-End Funds was unsuitable and that their account was over-concentrated in these investments. Claimants also allege that the risk of investing in and concentration in Puerto Rico investments was misrepresented.

There are Recent Customer Complaints with Broker Jeffrey Olson in Firm Northland Securities, INC.

April 24, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Olson (Olson), previously associated with Northland Securities, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Olson 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 $906,374.66 on August 07, 2020.

Claimants allege violation of federal securities laws, violation of Minnesota Securities Act, violation of Minnesota’s Consumer Protection Act, breach of contract, common law fraud, breach of fiduciary duty, negligence and gross negligence.

There are Recent Customer Complaints with Broker Ahmet Kildis in Firm Fifth Third Securities, INC.

April 24, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a award / judgment customer complaint on August 10, 2020.

Claimants, as attorneys-in-fact, allege that representative failed to properly process beneficiary documentation.

There are Recent Customer Complaints with Broker Billy Martin in Firm Cetera Advisors LLC

April 24, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Billy Martin (Martin), previously associated with Cetera Advisors LLC, 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 $100,000.00 on August 07, 2020.

Customers allege that the representative made unsuitable investment recommendations.

Broker Brent Bunger in Integrity Alliance, LLC. Firm Has Customer Complaint

April 24, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brent Bunger (Bunger), currently associated with Integrity Alliance, LLC., has at least one disclosable event. These events include one customer complaint, alleging that Bunger 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 $850,000.00 on August 10, 2020.

Unsuitable recommendations, material misrepresentatins, elder abuse

There are Recent Customer Complaints with Broker Rasikaran Boaz in Firm Equitable Advisors, LLC

April 24, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Rasikaran Boaz (Boaz), currently associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Boaz 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 August 10, 2020.

Client alleges a 2015 replacement insurance policy’s fees and surrender scheduled were misrepresented.

There are Recent Customer Complaints with Broker Douglas Keller in Firm Chelsea Financial Services

April 24, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Douglas Keller (Keller), previously associated with Chelsea Financial Services, has at least one disclosable event. These events include one customer complaint, alleging that Keller 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 August 10, 2020.

Client alleges a 2015 replacement insurance policy’s fees and surrender scheduled were misrepresented.

There are Recent Customer Complaints with Broker Roberta Nestor in Firm Commonwealth Financial Network

April 24, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Roberta Nestor (Nestor), currently associated with Commonwealth Financial Network, has at least one disclosable event. These events include one customer complaint, alleging that Nestor 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 $895,000.00 on August 07, 2020.

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 standard applies when brokers make recommendations to retail customer for any securities transaction or investment strategy involving securities, including recommendations of types of accounts. This standard applies when a registered representative is providing investment advice through making recommendations customers and covers securities transaction, investment strategies, and recommendations concerning advice on opening of an account or accounts.