Reg BI

Broker William Hales in UBS Financial Services INC. Firm Has Customer Complaint

March 16, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on December 15, 2020.

February 03, 2020 to March 11, 2020\<char_lb_r>\, \<char_lb_r>\, What were the allegations against the individual? \<char_lb_r>\, The Client alleges the financial advisor failed to liquidate his investments as instructed. The allege damages are estimated to be in excess of $5,000.00

Broker Craig Riggs in Emerson Equity LLC Firm Has Customer Complaint

March 16, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Craig Riggs (Riggs), previously associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Riggs 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 $1,000,000.00 on December 15, 2020.

Claimants allege that Mr. Riggs recommended alternative investments that were unsuitable.

Broker Jake Drennon in State Farm Vp Management Corp. Firm Has Customer Complaint

March 16, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on December 16, 2020.

Customer alleges RR office sharing of customer credit card information that lead to a several hundred dollar charge on the credit card.

There are Recent Customer Complaints with Broker Alma Faerber in Firm Orchard Securities, LLC

March 16, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alma Faerber (Faerber), currently associated with Orchard Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Faerber 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 $1,000,000.00 on December 15, 2020.

Claimant alleges that Mr. Faerber recommended alternative investments that were unsuitable. Securities were purchased prior to 2017.

Broker Matthew Macek in LPL Financial LLC Firm Has Customer Complaint

March 16, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on December 16, 2020.

Clients’ representative complained that the financial advisor improperly recommended the sale of securities and repositioning of proceeds into a single mutual fund, resulting in a commission on the sale, long term capital gains taxes and a sales charge on the mutual fund. (4/16/2019).

Broker Dominic Debruin in LPL Financial LLC Firm Has Customer Complaint

March 16, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dominic Debruin (Debruin), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Debruin 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 $140,000.00 on December 22, 2020.

Claimants allege advisor recommended unsuitable stock and misapprpopriated funds. Activity period: 2013 to 2018 approximate.

There are Recent Customer Complaints with Broker Gayle Lob in Firm LPL Financial LLC

March 16, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gayle Lob (Lob), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lob 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 $65,000.00 on December 15, 2020.

Customer alleges unsuitable alternative investment recommendation. Activity Period: 5/2013 – 12/2020.

Broker Julie Cohen in Mutual Securities, INC. Firm Has Customer Complaint

March 16, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Julie Cohen (Cohen), previously associated with Mutual Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Cohen 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 $500,000.00 on December 15, 2020.

Allegations include breach of contract, breach of duty, negligence, misrepresentation and omission, and violations of various FINRA rules and Federal and State laws. The plaintiffs had maintained independently managed accounts with Mutual Securities, Inc.

There are Recent Customer Complaints with Broker Bernard Wolfe in Firm Kestra Investment Services, LLC

March 16, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bernard Wolfe (Wolfe), previously associated with Kestra Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Wolfe 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 $213,000.00 on December 18, 2020.

Claimant claims negligence, over-concentration, breach of fiduciary duty, breach of contract, material misrepresentations and omissions and failure to supervise in relation to the sale of FSKR in 2013.

Broker Gerald Fasanella in Cetera Advisors LLC Firm Has Customer Complaint

March 16, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gerald Fasanella (Fasanella), previously associated with Cetera Advisors LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Fasanella 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 $400,000.00 on December 22, 2020.

Claimants allege that their registered representative recommended unsuitable investments.