Reg BI

There are Recent Customer Complaints with Broker David Obedin in Firm Cetera Wealth Services, LLC

February 27, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Obedin (Obedin), currently associated with Cetera Wealth Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Obedin 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 March 10, 2021.

Client alleges that a delay in a rollover transaction between January and April 2020 resulted in losses in her account.

Broker Robert Stanlick in LPL Financial LLC Firm Has Customer Complaint

February 27, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Stanlick (Stanlick), currently associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Stanlick 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 $110,000.00 on March 08, 2021.

Boilerplate allegations include breach of fiduciary duty, negligence and unsuitability between May 2012 and January 2021.

There are Recent Customer Complaints with Broker David Hairston in Firm Osaic Fs, INC.

February 27, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Hairston (Hairston), previously associated with Osaic Fs, INC., has at least one disclosable event. These events include one customer complaint, alleging that Hairston 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 $23,868.00 on March 10, 2021.

The representative recommended a 1035 exchange and did not realize the outstanding loan balance would cause a taxable event.

Broker Michael Bucceri in Fortress Private Ledger, LLC Firm Has Customer Complaint

February 27, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Bucceri (Bucceri), currently associated with Fortress Private Ledger, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bucceri 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 $25,000.00 on March 12, 2021.

Ms. [REDACTED] contends around 02/17/2021 CMIA purchased illiquid investments that carried a risk of loss of significant principal and that this fact was concealed from her. Plaintiff contends I failed to appropriately advise her of the risk of loss of significant principal.

There are Recent Customer Complaints with Broker Thomas Meier in Firm Morgan Stanley

February 27, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Meier (Meier), previously associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Meier 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 March 09, 2021.

Claimant alleges, inter alia, unsuitability with respect to fixed annuities – 2010

Broker Joseph Trotta in LPL Financial LLC Firm Has Customer Complaint

February 27, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 11, 2021.

Customers alleged that income benefit rider of variable annuity issued in November 2006 was misrepresented, and sought restoration of income payments.

There are Recent Customer Complaints with Broker Joel Arivett in Firm Arvest Wealth Management

February 26, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joel Arivett (Arivett), previously associated with Arvest Wealth Management, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Arivett recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on March 17, 2021.

Client alleges that funds were not invested in 529 plans as instructed.

Broker Rhett Bedwell in LPL Financial LLC Firm Has Customer Complaint

February 26, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Rhett Bedwell (Bedwell), previously associated with LPL Financial LLC, has at least 4 disclosable events. These events include 3 customer complaints, one regulatory event, alleging that Bedwell recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on March 17, 2021.

Customer alleges that representative caused her to transfer funds to business entity that representative purported to be affiliated with, and used funds to invest in an unsecured promissory note without the customer’s knowledge; and that thereafter representative returned the proceeds of the promissory note to the business entity and subsequently transferred the customer’s funds first to another broker-dealer and then to a bank account that was not the customer’s account, without the customer’s knowledge and consent. Activity period: 4/3/19 to 1/29/20.

Broker Kishan Parikh in Aegis Capital Corp. Firm Has Customer Complaint

February 26, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint on March 17, 2021.

Parikh was named a respondent in a FINRA complaint alleging that he made unsuitable recommendations and excessively traded the accounts of his customers. The complaint alleges that Parikh controlled the trading in the customers’ accounts and executed trades with a total principal value of approximately $31.1 million. Parikh’s excessive and unsuitable trading in the customers’ accounts caused combined losses of more than $33,000. At the same time, Parikh’s trading generated gross sales credits and commissions of $179,112, of which Parikh received at least $89,000. The complaint also alleges that Parikh executed trades with a total principal value of approximately $4.2 million in the accounts of customers without their prior authorization.

There are Recent Customer Complaints with Broker Patrick Adams in Firm LPL Enterprise, LLC

February 26, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Patrick Adams (Adams), currently associated with LPL Enterprise, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Adams 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 $12,846.00 on March 18, 2021.

Customer Alleges the rep failed to disclose Tax Consequences.