Reg BI

Broker Richard Holmes in Concourse Financial Group Securities, INC. Firm Has Customer Complaint

January 22, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Holmes (Holmes), previously associated with Concourse Financial Group Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Holmes 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 $512,000.00 on October 04, 2021.

Claimant seeks compensatory damages under MetLife DI policy alleging that his addiction to alcohol is a disability under which the policy should pay claims. Allegation of breach of contract and misrepresentation by agent. Policy was purchased April 1, 2002. Claim originally made in 2018.

Broker Steven Mitchell in UBS Financial Services INC. Firm Has Customer Complaint

January 22, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint on September 29, 2021.

Respondent Mitchell 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.

Broker Dennis Reeve in Cetera Investment Services LLC Firm Has Customer Complaint

January 22, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dennis Reeve (Reeve), previously associated with Cetera Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Reeve 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 $99,999.00 on October 04, 2021.

Claimant alleges their registered representative made unsuitable recommendations, misrepresented and omitted material information.

Broker John Hwee in Royal Alliance Associates, INC. Firm Has Customer Complaint

January 22, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint with a damage request of $6,000.00 on September 30, 2021.

It is alleged that FP solicited a personal loan of $6,000 from Claimant and did not pay back that loan.

There are Recent Customer Complaints with Broker William Mclaughlin in Firm Coastal Equities, INC.

January 22, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Mclaughlin (Mclaughlin), previously associated with Coastal Equities, INC., has at least 6 disclosable events. These events include 6 customer complaints, alleging that Mclaughlin 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 $45,000.00 on October 01, 2021.

Representative is the subject of a claim filed against Coastal Equities, Inc., alleging damages for the value of a security recommended to the client by the representative. Claimant alleges breach of fiduciary duty, that the representative made unsuitable recommendations in the portfolio, negligent misrepresentation and omission, and principle/agent theories of liability against the firm for the acts of the representative.

Broker William Robertson in First Allied Securities, INC. Firm Has Customer Complaint

January 22, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Robertson (Robertson), previously associated with First Allied Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Robertson 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 $100,000.00 on October 05, 2021.

Claimant alleges his financial adviser recommended unsuitable investments. Claimant generally alleges misrepresentation, breach of duty and contract, and negligence.

Broker Ryan Young in Raymond James Financial Services, INC. Firm Has Customer Complaint

January 21, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on October 05, 2021.

CLIENT ALLEGES HE WAS NOT INFORMED OF THE TAX RAMIFICATIONS DUE TO THE CONVERSION OF EFT’S TO MUTUAL FUNDS AND INCURRED OVER $300,000 IN LONG TERM GAINS. THIS ACTIVITY OCCURRED ON OCTOBER 5, 2021.

There are Recent Customer Complaints with Broker James Pauliks in Firm Nylife Securities LLC

January 21, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on October 14, 2021.

Customer alleges when she purchased a variable annuity in October 2015, she was not informed that additional contributions would result in new surrender periods.

Broker Joshua Bitterman in First Allied Securities, INC. Firm Has Customer Complaint

January 21, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joshua Bitterman (Bitterman), previously associated with First Allied Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Bitterman 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 $50,000.00 on October 07, 2021.

Claimant alleges their former registered representative failed to disclose risks of certain alternative investments which claimant alleges were unsuitable.

Broker Matthew Perry in Stifel, Nicolaus & Company, Incorporated Firm Has Customer Complaint

January 21, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Perry (Perry), previously associated with Stifel, Nicolaus & Company, Incorporated, has at least 3 disclosable events. These events include 2 customer complaints, one regulatory event, alleging that Perry 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 13, 2021.

Claimant alleges fraudulent misrepresentation, negligent misrepresentation, breach of fiduciary duty, violation of RSMO Sections 409.5-509 and 409.5-501 (General Fraud), breach of the duty of suitability, unauthorized trading, and negligence. Timeframe June 2016 through March 2019.