Reg BI

Broker Narinder Singh in Farmers Financial Solutions, LLC Firm Has Customer Complaint

March 24, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Narinder Singh (Singh), previously associated with Farmers Financial Solutions, LLC, has at least 4 disclosable events. These events include 2 customer complaints, 2 regulatory events, alleging that Singh recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on October 27, 2020.

Respondent Singh 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 Patrick Strubbe in Firm Arkadios Capital

March 24, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Patrick Strubbe (Strubbe), currently associated with Arkadios Capital, has at least one disclosable event. These events include one customer complaint, alleging that Strubbe 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 $14,000.00 on October 23, 2020.

Allegation unknown. Dissatisfied with account.

There are Recent Customer Complaints with Broker Andrew Roybal in Firm LPL Financial LLC

March 24, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andrew Roybal (Roybal), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Roybal 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 $21,887.48 on October 23, 2020.

Client alleges rep failed to follow instructions to invest assets into managed account , resulting in monetary loss.

Broker Robert Bradley in LPL Financial LLC / Visions Analysis LLC Firm Has Customer Complaint

March 24, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Bradley (Bradley), currently associated with LPL Financial LLC / Visions Analysis LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bradley 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 26, 2020.

RECOMMENDED INVESTMENTS INCONSISTENT WITH INVESTOR’S ‘GROWTH AND INCOME’ OBJECTIVE. ACTIVITY PERIOD: MARCH 2014 TO PRESENT.

There are Recent Customer Complaints with Broker Steven Pagartanis in Firm Lombard Securities Incorporated

March 24, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven Pagartanis (Pagartanis), previously associated with Lombard Securities Incorporated, has at least 3 disclosable events. These events include 2 customer complaints, one regulatory event, alleging that Pagartanis recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on October 20, 2020.

Claimant (a) invested approximately $1,000,000 with registered representative between 2006 and 2008, (b) believed that she was investing in real estate, (c) received approximately $564,000 in distributions, and (d) alleges that her funds were misappropriated by the registered representative for his personal use.

There are Recent Customer Complaints with Broker Jose Martinez Esteves in Firm Popular Securities, LLC

March 24, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jose Martinez Esteves (Martinez Esteves), currently associated with Popular Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Martinez Esteves 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 October 27, 2020.

Claimant alleges that Financial Consultant investment recommendations to purchase and to hold P.R. Securities were unsuitable in light of the clients’ risk tolerance. Claimants also allege that recommendations made by the Financial Consultant were particularly egregious in light of Puerto Rico’s well known deteriorating financial condition.

There are Recent Customer Complaints with Broker Joseph Grantham in Firm Raymond James Financial Services, INC.

March 24, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Grantham (Grantham), previously associated with Raymond James Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Grantham 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 $19,875.22 on October 26, 2020.

Client alleges unsuitable investment. Alleged Activity Date: 3/27/2020.

There are Recent Customer Complaints with Broker William Munday in Firm Robert W. Baird & CO. Incorporated

March 24, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on October 27, 2020.

Claimant alleged FA provided her with incorrect legal advice regarding her right to spend money on personal expenses from an estate account.

Broker Jon Scheier in Edward Jones Firm Has Customer Complaint

March 23, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jon Scheier (Scheier), previously associated with Edward Jones, has at least 3 disclosable events. These events include one customer complaint, 2 regulatory events, alleging that Scheier recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on October 30, 2020.

Respondent Scheier failed to respond to FINRA request for information.

Broker Evan Savarick in Wells Fargo Clearing Services, LLC Firm Has Customer Complaint

March 23, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Evan Savarick (Savarick), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Savarick 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 October 29, 2020.

Claimant alleges, inter alia, Failure to Follow Instructions with respect to managed accounts \\u00e2?” Aug 2019 to Oct 2020