Reg BI

There are Recent Customer Complaints with Broker Anthony Tricarico in Firm Aegis Capital Corp.

March 9, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on February 03, 2021.

Time frame: unspecified. Claimants allege unsuitable investments.

Broker Sheldon Harber in Geneos Wealth Management, INC. Firm Has Customer Complaint

March 9, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sheldon Harber (Harber), previously associated with Geneos Wealth Management, INC., has at least one disclosable event. These events include one customer complaint, alleging that Harber 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 $18,000.00 on February 08, 2021.

Client alleges unsuitable recommendation of investment product purchased in 2015.

There are Recent Customer Complaints with Broker Daniel Mittag in Firm Oppenheimer & CO. INC.

March 9, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Mittag (Mittag), previously associated with Oppenheimer & CO. INC., has at least one disclosable event. These events include one customer complaint, alleging that Mittag 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 $450,000.00 on February 08, 2021.

Claimant asserts claims of breach of fiduciary duty, unsuitability, violations of finra rules, violation of section 10b of the exchange act, negligent misrepresentations, violations of 93a m.g.l. S.9, failure to supervise and negligent supervision arising from allegedly unsuitable investments and excessive trading in her account. From 2013 to 2020.

Broker John Egan in Revere Securities LLC Firm Has Customer Complaint

March 9, 2026 | by Staff Attorney

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

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

Claimant alleges: breach of fiduciary duty, breach of contract and negligence

There are Recent Customer Complaints with Broker John Egan in Firm Morgan Stanley

March 9, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Egan (Egan), previously associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Egan 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 $3,100,000.00 on February 04, 2021.

Claimant alleges, inter alia, unsuitability with respect to concentration in energy sector equity investment – 2015

Broker Adam Roberts in Equity Services, INC. Firm Has Customer Complaint

March 8, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on February 10, 2021.

Client alleges misrepresenatation in the sale of tax shelterd annuity in 2019

There are Recent Customer Complaints with Broker Moses Salib in Firm Merrill Lynch, Pierce, Fenner & Smith Incorporated

March 8, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Moses Salib (Salib), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Salib recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on February 09, 2021.

The customer alleges misrepresentation when the Financial Advisor discussed Individual Retirement Account (IRA) options, but failed to confirm pricing with the customer. Instead, the advisor transferred the customer to open a new account rather than place the trade; therefore, the customer suffered a loss.

There are Recent Customer Complaints with Broker Michael Mare in Firm Mutual Securities, INC.

March 8, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Mare (Mare), previously associated with Mutual Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Mare 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 $85,000.00 on February 16, 2021.

Client alleges that around May 2014, the representative recommended alternative investment products that were misrepresented and unsuitable based on the client’s investment objectives and risk tolerance.

There are Recent Customer Complaints with Broker Dan Vismor in Firm David Lerner Associates, INC.

March 8, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dan Vismor (Vismor), previously associated with David Lerner Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Vismor 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 $125,000.00 on February 11, 2021.

The customer alleges that JP Turner allowed its Registered Representatives to recommend unsuitable investments. No dates were provided within Statement of Claim. The investments took place at the Registered Representatives prior broker/dealer

There are Recent Customer Complaints with Broker John Nguyen in Firm Money Concepts Capital CORP

March 8, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Nguyen (Nguyen), currently associated with Money Concepts Capital CORP, has at least one disclosable event. These events include one customer complaint, alleging that Nguyen 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 $5,000,000.00 on February 13, 2021.

Customer alleges over-concentration, misrepresentations, omissions, and unsuitable recommendations in regards to the purchase of alternative and annuity investments.