Articles Posted in Reg BI

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Schweizer (Schweizer), currently associated with Charles Schwab & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Schweizer 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 $64,566.85 on July 09, 2025.

The client alleges the representative provided unsatisfactory advice by recommending an investment strategy to offset capital gains that resulted in an unexpected $73,514.74 tax liability.

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

FINRA BrokerCheck shows a final customer complaint on July 08, 2025.

Respondent Frankfort 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.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Amato (Amato), currently associated with Alexander Capital, L.p., 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 pending customer complaint on July 14, 2025.

Breach of Fiduciary Duty; Aiding and Abetting; Negligence (Failure to Supervise). Violations of Georgia State Laws.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Hurckes (Hurckes), currently associated with Ausdal Financial Partners, INC., has at least one disclosable event. These events include one customer complaint, alleging that Hurckes 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 $77,515.00 on July 21, 2025.

Breach of Fiduciary Duty; Failure to conduct reasonable due diligence.

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

FINRA BrokerCheck shows a pending customer complaint on July 21, 2025.

Customer alleges that certain stocks in her portfolio were unsuitable.

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

FINRA BrokerCheck shows a pending customer complaint on July 14, 2025.

Breach of Fiduciary Duty; Aiding and Abetting; Negligence (Failure to Supervise). Violations of Georgia State Laws.

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

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

The client alleges the financial advisor invested in a marijuana company against the client’s goals and preferences.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Randy Birkinbine (Birkinbine), currently associated with Ausdal Financial Partners, INC., has at least one disclosable event. These events include one customer complaint, alleging that Birkinbine 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 $75,000.00 on March 24, 2025.

Breach of written contracts; Breach of fiduciary duty; Failure to supervise; negligence and gross negligence.

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

FINRA BrokerCheck shows a pending customer complaint on July 07, 2025.

December 4th, 2013 to July 3rd, 2025 What were the allegations against the individual? The trustee alleges that as a retiree and layperson, the client's best interest were breached with the recommendation to purchase the investment given the Fund's poor performance and illiquidity which posed a significant risk to her financial security. Further allegations state that advisor (had the obligation as a fiduciary) to clearly explain the risks, including the potential for prolonged lockup periods and the Fund's high-risk allocation strategy.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stefan Dolgoff (Dolgoff), previously associated with LPL Enterprise, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Dolgoff 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 $109,290.47 on July 09, 2025.

Customers allege they suffered losses as a result of unauthorized trading relating to a variable annuity in January 2025.

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