Reg BI

There are Recent Customer Complaints with Broker Richard Coleman in Firm Sw Financial

January 31, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Coleman (Coleman), previously associated with Sw Financial, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Coleman 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 $90,724.99 on July 21, 2021.

Excessive Trading, Suitability, Overconcentration

Broker Elizabeth Kidoor in Infinex Investments, INC. Firm Has Customer Complaint

January 31, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Elizabeth Kidoor (Kidoor), previously associated with Infinex Investments, INC., has at least one disclosable event. These events include one customer complaint, alleging that Kidoor 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 July 21, 2021.

Firm and its agents failed to conduct reasonable due diligence and continuously recommend an investment strategy almost entirely comprised of an unsuitable, high-risk or speculative and illiquid alternative investment.

There are Recent Customer Complaints with Broker Eric Lerner in Firm Nationwide Planning Associates INC.

January 31, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eric Lerner (Lerner), currently associated with Nationwide Planning Associates INC., has at least one disclosable event. These events include one customer complaint, alleging that Lerner 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 $950,000.00 on July 20, 2021.

Time Frame: December 2019 to January 2021 Client alleges investments were unsuitable as they went against the investment objective. Client further alleges breach of fiduciary duty, negligence in violation with industry standards and FINRA rules, and misrepresentation and omission of information.

There are Recent Customer Complaints with Broker Norman Mcneill in Firm Triad Advisors, INC.

January 31, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a award / judgment customer complaint on July 21, 2021.

McNeill was named in a customer complaint that asserted the following causes of action: violating the Alabama Securities Act, unsuitability, negligent misrepresentation and negligent suppression, breach of fiduciary duty, negligence, breach of contract, and controlling person liability.

There are Recent Customer Complaints with Broker Daniel Palmer in Firm Cetera Wealth Services, LLC

January 31, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Palmer (Palmer), currently associated with Cetera Wealth Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Palmer 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 July 21, 2021.

Claimant alleges Cetera and their registered representative made unsuitable recommendations.

There are Recent Customer Complaints with Broker Galen Foster in Firm Stifel, Nicolaus & Company, Incorporated

January 31, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Galen Foster (Foster), currently associated with Stifel, Nicolaus & Company, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Foster 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 $111,005.61 on July 20, 2021.

Customer alleges registered representative never mentioned that investment was a junk bond and failed to safeguard investment. 9/14/19 through 7/2/20

Broker Eric Hynden in UBS Financial Services INC. Firm Has Customer Complaint

January 31, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a award / judgment customer complaint with a damage request of $1,400,000.00 on July 21, 2021.

Eric Hynden was named in a customer complaint that asserted the following causes of action: breach of duty of confidentiality; breach of fiduciary duty; and failure to supervise in violation of FINRA Rule 3110.

Broker Lawrence Davis in Crown Capital Securities, L.p. Firm Has Customer Complaint

January 31, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lawrence Davis (Davis), previously associated with Crown Capital Securities, L.p., has at least one disclosable event. These events include one customer complaint, alleging that Davis 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 July 22, 2021.

The customer alleges lack of suitability, overconcentration and misrepresentation in regards to an investment in an alternative product.

Broker Edward Lane in Royal Alliance Associates, INC. Firm Has Customer Complaint

January 31, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Edward Lane (Lane), previously associated with Royal Alliance Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Lane 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 $350,000.00 on July 20, 2021.

Claimants allege that the representative recommended investments that were unsuitable.

There are Recent Customer Complaints with Broker Nicola Caporaso in Firm MML Investors Services, LLC

January 30, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nicola Caporaso (Caporaso), currently associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Caporaso 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 July 27, 2021.

The complainant alleges that in or around 2014, the rep made unsuitable recommendations and recommended investments that were not consistent with the complainant’s risk tolerance. She further alleges that the rep forged her signature and falsified her insurance application.