Reg BI

There are Recent Customer Complaints with Broker Sam Bhushan in Firm Cabin Securities, INC.

January 2, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sam Bhushan (Bhushan), currently associated with Cabin Securities, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Bhushan 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 $2,025,634.00 on November 25, 2025.

The complaint against his member asserted the following causes of action, common law fraud, unsuitable recommendations, and breach of fiduciary duty.

Broker Christopher Rogers in Emerson Equity LLC Firm Has Customer Complaint

January 2, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on November 24, 2025.

Compensatory damages; breach of written contract; breach of fiduciary duty; negligence and gross negligence; misrepresentations and omissions; violation of FINRA rules; violation of the Arizona Securities Act and federal securities laws, and Violation of Best Interest Obligations. 2022

There are Recent Customer Complaints with Broker Conrad Cook in Firm LPL Financial LLC

January 2, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Conrad Cook (Cook), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Cook 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 $311,200.00 on November 20, 2025.

Claimants allege that the investments held in decedent’s retirement account were not immediately liquidated upon her death and that the investments declined in value prior to liquidation, resulting in a lesser payout to the beneficiaries.

There are Recent Customer Complaints with Broker Michelle Osborne in Firm Emerson Equity LLC

January 2, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michelle Osborne (Osborne), currently associated with Emerson Equity LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Osborne recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on November 24, 2025.

Unsuitability and Regulation Best Interest; Breach of fiduciary duty; Negligence and Gross Negligence; Negligent Misrepresentation; Intentional Misrepresentation/Omission; Breach of Contract

Broker Chuck Roberts in Stifel, Nicolaus & Company, Incorporated Firm Has Customer Complaint

January 2, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Chuck Roberts (Roberts), previously associated with Stifel, Nicolaus & Company, Incorporated, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Roberts 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 $1,000,000.00 on December 15, 2025.

Claimants allege breach of fiduciary duty, negligence, fraud, breach of contract, violation of sections 10(b) and 20(a) of the Securities Exchange Act and Rule 10b-5, and violation of the Florida Securities and Investor Protection Act.

Broker John Nole in Paulson Investment Company LLC Firm Has Customer Complaint

January 2, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Nole (Nole), currently associated with Paulson Investment Company LLC, has at least one disclosable event. These events include one customer complaint, alleging that Nole 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 $350,000.00 on December 01, 2025.

Claimant allege that respondent Paulson, acting through Nole, improperly recommended that Claimants invest monies in GWG Holdings, Inc., L Bonds. Purchases were made in 2016, 2018, and 2019.

There are Recent Customer Complaints with Broker William Jones in Firm Morgan Stanley

January 2, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Jones (Jones), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Jones 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 $34,652.65 on December 08, 2025.

CLIENT ALLEGES THAT HER ACCOUNT WAS NOT MANAGED IN HER BEST INTEREST 2020-2025

There are Recent Customer Complaints with Broker Louis Sachs in Firm Northwestern Mutual Investment Services, LLC

December 30, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Louis Sachs (Sachs), previously associated with Northwestern Mutual Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Sachs 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 $5,000.00 on December 09, 2021.

The customer is alleging misrepresentation of her investment and insurance portfolio, citing misleading sales practices, failure to create a financial plan in the customer’s best interests and negligence in the management of the customer’s portfolio.

Broker Kristian Finfrock in Kalos Capital, INC. Firm Has Customer Complaint

December 30, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kristian Finfrock (Finfrock), previously associated with Kalos Capital, INC., has at least one disclosable event. These events include one customer complaint, alleging that Finfrock 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 December 14, 2021.

Breach of fiduciary duty, breach of contract and negligence, negligent supervision, fraudulent inducement to hold investment, violation of FINRA/NYSE rules, and violation of the securities laws, including the Wisconsin Securities Act

Broker David Magli in Magstar Capital, LLC Firm Has Customer Complaint

December 30, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Magli (Magli), currently associated with Magstar Capital, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Magli 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 $6,000,000.00 on December 15, 2021.

Plaintiff alleges that Magstar Capital, LLC and David Magli breached an agreement to provide certain fundraising and financial advisory services. Magstar Capital was engaged by Plaintiff, an early-stage startup company looking to launch a technology platform focused on the travel industry. They approached Magstar Capital seeking assistance with their efforts to raise a seed-round of capital during the height of COVID. After an unsuccessful period of capital raising effort, Magstar Capital terminated its engagement with the Plaintiff. Plaintiff thereafter filed litigation against Magstar Capital and Mr. Magli seeking declaratory relief to void the contract and its obligations thereunder, as well as other relief. Magstar Capital and Mr. Magli deny the allegations in the complaint and are vigorously defending the action.