Reg BI

Broker Robert Schmidt in Realized Financial, INC. Firm Has Customer Complaint

September 21, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on February 13, 2023.

Claimant alleges failure to conduct reasonable due diligence and disclosure on NP Skyloft DST

Broker Peter Chernin in Great Point Capital LLC Firm Has Customer Complaint

September 21, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on February 08, 2023.

Claimants claim certain investments were unsuitable for them and that that risks of the investments were not revealed despite written disclosures. Claim also states a lack of supervision, and a failure to perform due diligence by broker dealer. Transactions at issue were Section 1031 Exchanges. Occurrences were in 2019 and 2020. Mr. Chernin is alleged to have been the registered representative involved. He is not named as a respondent.

There are Recent Customer Complaints with Broker Lanita Nelson in Firm PFS Investments INC.

September 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lanita Nelson (Nelson), currently associated with PFS Investments INC., has at least one disclosable event. These events include one customer complaint, alleging that Nelson 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 $20,944.09 on February 10, 2023.

Client alleged i misrepresented her variable annuity.

There are Recent Customer Complaints with Broker William Kastelz in Firm MML Investors Services, LLC

September 21, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on February 13, 2023.

The complainant alleges that the Whole Life policy, issued on or about April 05, 2022, was misrepresented, and his Brokerage Account, which funded the Whole Life policy, was mismanaged by his registered representative, because of buying and selling securities that he was not advised on, and as a result, he has incurred a loss.

Broker Narongdej Jaroensabphayanont in Voya Financial Advisors, INC. Firm Has Customer Complaint

September 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Narongdej Jaroensabphayanont (Jaroensabphayanont), previously associated with Voya Financial Advisors, INC., has at least one disclosable event. These events include one regulatory event, alleging that Jaroensabphayanont recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on February 08, 2023.

Respondent Jaroensabphayanont failed to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA request to provide information concerning the status of compliance.

There are Recent Customer Complaints with Broker Darrach Bourke in Firm Emerson Equity LLC

September 21, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on February 08, 2023.

Breach of fiduciary duty, Negligence and Negligent misrepresentation, Breach of contract, Negligence-Violation of best interest

There are Recent Customer Complaints with Broker Mark Hembling in Firm Edward Jones

September 21, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on February 09, 2023.

Client alleges she instructed the financial advisor to put stop losses on her stock and he failed to do so.

There are Recent Customer Complaints with Broker Armando Roman in Firm Independent Financial Group, LLC

September 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Armando Roman (Roman), previously associated with Independent Financial Group, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Roman 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 February 06, 2023.

Alleges investment was not suitable. See response to #24, below for additional information

Broker Sheila Groth in MML Investors Services, LLC Firm Has Customer Complaint

September 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sheila Groth (Groth), currently associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Groth 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 $28,000.00 on February 08, 2023.

Regarding a variable annuity purchased in 2021, the complainant alleges that she suffered financial losses because at the time of sale, the rep didn’t disclose to her that the product wasn’t set up as she had initially requested, certain preclusions related to the product weren’t disclosed to her, and changes were made to the annuitant by either the rep or the fund company itself, which she wouldn’t have agreed to, and which affected the death benefit. She wants to be reimbursed for her losses.

Broker Paul Conlon in Citizens Securities, INC. Firm Has Customer Complaint

September 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Paul Conlon (Conlon), previously associated with Citizens Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Conlon 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 $9,860.00 on February 13, 2023.

Claimant alleges that, between 2017 and 2020, payroll deductions to fund a 401K account were made, and further alleges that the account establishment and funding were misrepresented.