Reg BI

Broker William Slepcevich in Osaic Wealth, INC. Firm Has Customer Complaint

March 27, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Slepcevich (Slepcevich), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Slepcevich 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 October 03, 2020.

Allegations of unsuitable investment recommendation related to a business development company

There are Recent Customer Complaints with Broker Norman Robbins in Firm Ameriprise Financial Services, LLC

March 27, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Norman Robbins (Robbins), currently associated with Ameriprise Financial Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Robbins 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 October 02, 2020.

Alleged overconcentration in real estate investments, commodity funds and energy stocks.

Broker Leo Galanti in Raymond James Financial Services, INC. Firm Has Customer Complaint

March 27, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Leo Galanti (Galanti), previously associated with Raymond James Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Galanti 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 $1,200,000.00 on October 01, 2020.

Clients allege unsuitable investments using margin. 08/25/2010 06/30/2020.

There are Recent Customer Complaints with Broker Tawnya Schwartz in Firm MML Investors Services, LLC

March 26, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on October 09, 2020.

The complainant alleges his signature was forged multiple times, without his knowledge or consent on an application for a variable annuity, which was issued on May 31, 2017.

There are Recent Customer Complaints with Broker Coleman Benko in Firm the Strategic Financial Alliance, INC.

March 26, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Coleman Benko (Benko), currently associated with the Strategic Financial Alliance, INC., has at least one disclosable event. These events include one customer complaint, alleging that Benko 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 $75,000.00 on October 13, 2020.

In the financial industry advisors must meet the requirements of the SEC’s Regulation Best Interest (Reg BI) in providing investment advice and services. Reg BI established a ‘best interest’ standard for brokerage firms and registered representatives. Reg BI applies when brokers recommend a retail investor engage in securities transaction or an investment strategy involving one or more securities. Reg BI also applies to financial advice concerning the transfer of funds and opening of accounts. 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.

Broker Eduardo Zeiter in Ameriprise Financial Services, LLC Firm Has Customer Complaint

March 26, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on October 13, 2020.

Plaintiff alleges that Prudential wrongfully denied her $1 million claim for death benefits. She also alleges that her AFS advisor was negligent in procuring the Prudential policy and is liable for the negligent completion and submission the application on behalf of the insured.

There are Recent Customer Complaints with Broker Julio Santiago Cruz in Firm Popular Securities, LLC

March 26, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Julio Santiago Cruz (Santiago Cruz), currently associated with Popular Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Santiago Cruz 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 $35,000.00 on October 13, 2020.

Claimant alleges that Financial Consultant’s investment recommendations to purchase and to hold P.R. Securities were unsuitable in light of the clients’ risk profile causing loses estimated at over $35,000.00.

There are Recent Customer Complaints with Broker Eric Szczurowski in Firm Ameriprise Financial Services, LLC

March 26, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eric Szczurowski (Szczurowski), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Szczurowski 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 October 14, 2020.

Claimants allege that in 2018, their advisor recommended they purchase unsuitable and high-commission Multi-Index Universal Life insurance policies (“IUL Policies”).

Broker David Anderson in Tiaa-cref Individual & Institutional Services, LLC Firm Has Customer Complaint

March 26, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on October 11, 2020.

In the Complaint, the client alleges that TIAA representatives made false representations prior to the signing of the annuity application dated December 26, 2015. The client further alleges that TIAA substituted terms into the annuity documents which materially varied from the representations that the representatives made to the client, were not agreed upon by the parties and seeks compensatory damages in excess of $300,000.00.

Broker William Matthews in Charles Schwab & Co., INC. Firm Has Customer Complaint

March 26, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Matthews (Matthews), currently associated with Charles Schwab & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Matthews 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 $22,751.00 on October 14, 2020.

Client alleges the representative did not follow instructions provided on August 4, 2020 to cancel the 2020 Required Minimum Distribution which resulted in an additional $22,751 tax obligation.