Reg BI

There are Recent Customer Complaints with Broker Jon Rustad in Firm Centaurus Financial, INC.

September 23, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jon Rustad (Rustad), previously associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Rustad 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 $343,475.00 on January 31, 2023.

Previous Broker Dealer states: Allege that clients were overconcentrated in illiquid investments that were not suitable or in line with their stated objectives and risk tolerance.

Broker Marc Alkes in Variable Investment Associates, INC. Firm Has Customer Complaint

September 23, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on January 31, 2023.

Client purchased 2 mutual funds and market went down and he cashed them out at a loss

Broker Michael Vassalotti in UBS Financial Services INC. Firm Has Customer Complaint

September 23, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Vassalotti (Vassalotti), previously associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Vassalotti 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 $974,094.12 on February 01, 2023.

Time Frame: October 30th, 1998 to August 1st, 2022\, \, What were the allegations against the individual? Counsel alleges that his client was recommended an unsuitable investment strategy in which material misrepresentations were made. Counsel further alleges the strategy was not purchased in the client’s best interest.

Broker Robert Smith in Emerson Equity LLC Firm Has Customer Complaint

September 23, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on February 01, 2023.

Complaint is alleging suitability concerns relating to investments made in November 2019

Broker Carol Lemoult in Wells Fargo Clearing Services, LLC Firm Has Customer Complaint

September 23, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a award / judgment customer complaint with a damage request of $625,592.85 on January 25, 2023.

Claimant alleges her Financial Advisor (FA) overconcentrated her account(s) in high-risk equity funds not suitable based on Claimant’s age.

Broker Antun Domit in Alterna Securities, INC. Firm Has Customer Complaint

September 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Antun Domit (Domit), currently associated with Alterna Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Domit 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 February 03, 2023.

Client alleges that during the time period beginning October 26, 2021 and ending September 30, 2022, registered representative failed to provide advice regarding a deadline related to a bankruptcy affecting client’s bonds, and further (and inaccurately) alleges that the advisor recommended that client hold the bonds rather than convert them. Client alleges that the described conduct resulted in expiration of the bonds under a court-ordered bankruptcy plan

Broker Kyle Lucas in Equitable Advisors, LLC Firm Has Customer Complaint

September 22, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on February 03, 2023.

Client alleges RR sold positions without their knowledge while rebalancing the client’s portfolio.

There are Recent Customer Complaints with Broker Rami Sassoon in Firm LPL Financial LLC

September 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Rami Sassoon (Sassoon), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Sassoon 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 $300,000.00 on February 02, 2023.

Claimants allege they were recommended and overconcentrated in unsuitable investments.

Broker Brandon Bowman in Ameritas Investment Company, LLC Firm Has Customer Complaint

September 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brandon Bowman (Bowman), currently associated with Ameritas Investment Company, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bowman 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 $300,000.00 on February 02, 2023.

Claimant alleges they were recommended and overconcentrated in unsuitable investments.

Broker Martin Brooks in United Planners’ Financial Services of America A Limited Partner Firm Has Customer Complaint

September 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Martin Brooks (Brooks), previously associated with United Planners’ Financial Services of America A Limited Partner, has at least one disclosable event. These events include one customer complaint, alleging that Brooks 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 $350,000.00 on February 01, 2023.

Claimant alleges breach of fiduciary duty, breach of contract, and misrepresentation.