Reg BI

There are Recent Customer Complaints with Broker Christopher Meadows in Firm Fidelity Brokerage Services LLC

March 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Meadows (Meadows), currently associated with Fidelity Brokerage Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Meadows 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 $165,000.00 on November 20, 2020.

Customer alleged that the representative recommended an investment product offered by an unaffiliated RIA that was not suitable given the customer’s risk profile.

Broker Alfred Amato in LPL Financial LLC Firm Has Customer Complaint

March 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alfred Amato (Amato), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Amato 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 $54,000.00 on November 20, 2020.

Customer alleged that investment in business development company was misrepresented and unsuitable, and sought recovery of initial investment. Activity period: 12/9/14 to 12/9/14.

Broker Michael Bates in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

March 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Bates (Bates), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Bates recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on November 22, 2020.

The customer alleges unauthorized trading in March 2020.

Broker Heath Grossman in Silver Oak Securities, Incorporated Firm Has Customer Complaint

March 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Heath Grossman (Grossman), previously associated with Silver Oak Securities, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Grossman 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 $80,000.00 on November 24, 2020.

Customer allegations against Silver Oak Securities include failure to supervise, suitability rule violations and failure to conduct adequate due diligence.

There are Recent Customer Complaints with Broker Timothy Glaser in Firm Fidelity Brokerage Services LLC

March 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Timothy Glaser (Glaser), currently associated with Fidelity Brokerage Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Glaser 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 $93,956.00 on November 24, 2020.

Customer complaint received alleging Mr. Glaser failed to follow instructions with respect to the sale of two positions within a managed account.

There are Recent Customer Complaints with Broker Paul Platek in Firm UBS Financial Services INC.

March 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Paul Platek (Platek), previously associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Platek 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 $30,000.00 on November 25, 2020.

Time frame: 2010-2014\<char_lb_r>\, Claimants’ counsel alleges unsuitability, misrepresentation, and negligence with respect to recommendations to invest in the market and in annuities.

Broker Ricardo Armijo in Raymond James & Associates, INC. Firm Has Customer Complaint

March 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ricardo Armijo (Armijo), currently associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Armijo 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 $50,000.00 on November 23, 2020.

Time Frame: January 09, 2012 to December 27, 2018 The client’s Attorney alleges irregularities in regards to not disclosing the fees on C shares.

There are Recent Customer Complaints with Broker Shawn Mcchesney in Firm Innovation Partners LLC

March 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Shawn Mcchesney (Mcchesney), previously associated with Innovation Partners LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mcchesney 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 $483,192.00 on November 18, 2020.

Client alleges negligence, unsuitable investment recommendations, lack of authority, and seeks recovery of potential taxes from capital gains.

Broker Dennis Plagenz in Harbour Investments, INC. Firm Has Customer Complaint

March 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dennis Plagenz (Plagenz), previously associated with Harbour Investments, INC., has at least one disclosable event. These events include one customer complaint, alleging that Plagenz 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 $633,000.00 on November 23, 2020.

Client alleges negligence, negligent misrepresentation/unsuitability, breach of duty, and failure to supervise regarding 2009 variable annuity purchase.

Broker George Henning in Pacific Global Fund Distributors, INC. Firm Has Customer Complaint

March 20, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on November 20, 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. This Reg BI standard of care applies to registered representatives making recommendations to customers in the purchase, sale, or exchange of securities or the implementation of investment strategies involving securities and non-securities. The rule also applies to the handling of opening accounts such as account transfers and types of accounts being recommended to be opened. 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.