Articles Posted in Reg BI

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ramnarain Jaigobind (Jaigobind), currently associated with Thinkequity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Jaigobind 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 $216,000.00 on December 22, 2025.

Claimant, an extremely sophisticated, experienced, high net worth investor alleges a suitability claim regarding one of his investments.

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

FINRA BrokerCheck shows a pending customer complaint on December 15, 2025.

Customer alleges the Variable Universal Life insurance policy purchased in November 2025 was not signed by her and she is requesting the policy to be cancelled.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Charles Giordano (Giordano), currently associated with Thinkequity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Giordano 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 $215,990.00 on December 22, 2025.

Claimant, an extremely sophisticated, experienced, high net worth investor alleges a suitability claim regarding one of his investments.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Asher Wolmark (Wolmark), previously associated with Kingsbury Capital, INC., has at least one disclosable event. These events include one customer complaint, alleging that Wolmark 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 $500,000.00 on December 19, 2025.

Allegations regarding unsuitable investments from 2021 through 2025.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Mccain (Mccain), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mccain 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 $2,000,000.00 on December 16, 2025.

Customer alleges that the representative failed to provide information and requested statements for her account(s).

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Philip Pluta (Pluta), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Pluta 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 $13,530.00 on December 17, 2025.

Customer alleges unsuitable investment recommendation. Activity dates  11/12/2025 – 12/17/2025.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Phyllis Henderson (Henderson), currently associated with Thinkequity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Henderson 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 $215,990.00 on December 22, 2025.

Claimant, an extremely sophisticated, experienced, high net worth investor alleges a suitability claim regarding one of his investments.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Baquet (Baquet), currently associated with Thinkequity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Baquet 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 $215,990.00 on December 22, 2025.

Claimant, an extremely sophisticated, experienced, high net worth investor alleges a suitability claim regarding one of his investments.

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

FINRA BrokerCheck shows a pending customer complaint on December 18, 2025.

The claimants allege they were directly lied to and facts were misrepresented about investments.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Timothy Sherer (Sherer), currently associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Sherer 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, 2025.

Suitability

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