Reg BI

Broker Thomas Niemczyk in D. Boral Capital Firm Has Customer Complaint

February 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Niemczyk (Niemczyk), currently associated with D. Boral Capital, has at least one disclosable event. These events include one customer complaint, alleging that Niemczyk 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 $95,027.44 on April 26, 2021.

Time frame: December 2012 – November 2020. Claimant alleges unsuitable investment recommendations.

Broker Gerald Sharpe in Aegis Capital Corp. Firm Has Customer Complaint

February 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gerald Sharpe (Sharpe), currently associated with Aegis Capital Corp., has at least one disclosable event. These events include one customer complaint, alleging that Sharpe 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 $283,716.78 on April 26, 2021.

Timeframe: December 2012 – November 2020. Claimants allege unsuitable investment recommendations.

There are Recent Customer Complaints with Broker Angela Denham in Firm Wells Fargo Clearing Services, LLC

February 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Angela Denham (Denham), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Denham 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 $50,000.00 on April 23, 2021.

Customer alleges that the purchases of two investments made approximately seven years ago were not suitable. Activity Period: 6/2014 – 4/2021

Broker Brian Rockowitz in Madison Global Partners LLC Firm Has Customer Complaint

February 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Rockowitz (Rockowitz), currently associated with Madison Global Partners LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Rockowitz 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 $106,882.07 on April 26, 2021.

Time frame: December 2012 – November 2020. Claimant(s) allege unsuitable investment recommendations

Broker Daniel Sopher in LPL Financial LLC Firm Has Customer Complaint

February 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Sopher (Sopher), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Sopher 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 $73,000.00 on April 26, 2021.

Claimant alleges negligence, breach of fiduciary duty, and failure to supervise.

There are Recent Customer Complaints with Broker Juan Perez in Firm UBS Financial Services INC.

February 20, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on April 24, 2021.

Time frame: Unspecified Allegations: Claimants allege their investments in Puerto Rico closed-end funds and municipal bonds were unsuitable, over-concentrated, and misrepresented as safe investments.

Broker Toni Nieves in Oppenheimer & CO. INC. Firm Has Customer Complaint

February 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Toni Nieves (Nieves), previously associated with Oppenheimer & CO. INC., has at least one disclosable event. These events include one customer complaint, alleging that Nieves 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 $200,000.00 on April 23, 2021.

Claimant alleges a failure to liquidate securities was unsuitable and resulted in losses. March 2020 to April 2020

Broker Jorge M. Pelegrina in UBS Financial Services INC. Firm Has Customer Complaint

February 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jorge M. Pelegrina (Pelegrina), previously associated with UBS Financial Services INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Pelegrina 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 $949,000.00 on April 26, 2021.

Time frame: Unspecified\, Claimants allege that the recommendation to invest in and hold Puerto Rico closed-end funds was unsuitable and that their accounts were over-concentrated in these investments. They also allege that the risks of investing in Puerto Rico investments were misrepresented.

Broker Hong Pan in Citigroup Global Markets INC. Firm Has Customer Complaint

February 19, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Hong Pan (Pan), previously associated with Citigroup Global Markets INC., has at least one disclosable event. These events include one customer complaint, alleging that Pan 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 $5,000.00 on April 29, 2021.

Customer alleges suitability with managed account investment. Activity Date Feb 4, 2021.

Broker Victoria Staudinger in Nylife Securities LLC Firm Has Customer Complaint

February 19, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Victoria Staudinger (Staudinger), currently associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Staudinger 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 $1,440,833.33 on April 30, 2021.

The customers allege that beginning in February 2016, as a result of misrepresentations and without full disclosure, they set up trusts, funded by life insurance, and donor-advised funds that promised substantial charitable deductions that would reduce federal income taxes.