Reg BI

Broker Thomas Renzi in RBC Capital Markets, LLC Firm Has Customer Complaint

December 7, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on February 23, 2022.

Financial Advisor made unsuitable recommendations

Broker Donald Bizub in Hamilton Grant LLC Firm Has Customer Complaint

December 7, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Donald Bizub (Bizub), currently associated with Hamilton Grant LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bizub 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 $16,440,221.00 on February 16, 2022.

Control Person Liability; Failure to Supervise

Broker Kathleen Bradley in Western International Securities, INC. Firm Has Customer Complaint

December 7, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kathleen Bradley (Bradley), previously associated with Western International Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Bradley 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 $16,440,221.00 on February 16, 2022.

Failure to Supervise

There are Recent Customer Complaints with Broker Jeffrey Hollander in Firm Morgan Stanley

December 7, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Hollander (Hollander), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Hollander 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 $2,500,000.00 on February 17, 2022.

Claimant alleges, inter alia, unsuitability with respect to FA’s recommendation to liquidate shares of an equity security – 2020 to 2022

There are Recent Customer Complaints with Broker Ross Wyatt in Firm Arkadios Capital

December 6, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 01, 2022.

The complainant alleges that the tax consequences, associated with the Variable Annuities issued on or around December 16, 2021, were misrepresented.

There are Recent Customer Complaints with Broker Jeffrey Norris in Firm Arkadios Capital

December 6, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 01, 2022.

The complainant alleges that the tax consequences, associated with the Variable Annuities issued on or around December 16, 2021, were misrepresented.

Broker Michael Zagoria in Equitable Distributors, LLC Firm Has Customer Complaint

December 6, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 01, 2022.

[REDACTED] ([REDACTED]) alleges that representatives of MML assured him there would be no tax liability incurred from the transactions involving the exchange of multiple Equitable Financial variable annuities. [REDACTED] alleges that Michael Zagoria (Zagoria), as an “Equitable Subject Matter Expert”, “described the product and process to effect the change”, and “confirmed there would be no tax liability created by the change.” The exchange resulted in a tax liability to [REDACTED] and his spouse, [REDACTED]

Broker Michael Fordham in Charles Schwab & Co., INC. Firm Has Customer Complaint

December 6, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Fordham (Fordham), currently associated with Charles Schwab & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Fordham 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 $150,000.00 on February 26, 2022.

The client alleges the representative misrepresented the risk of Nuveen Flexible Income fund.

Broker Eugene Weinstein in Ameriprise Financial Services, LLC Firm Has Customer Complaint

December 6, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eugene Weinstein (Weinstein), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Weinstein 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 $1,000,000.00 on February 28, 2022.

Client alleged that the risks associated with utilizing Exchange Traded Fund (ETF) Index Options was misrepresented by their advisor, resulting in losses.

There are Recent Customer Complaints with Broker Mauricio Assael in Firm Investment Placement Group

December 6, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mauricio Assael (Assael), currently associated with Investment Placement Group, has at least one disclosable event. These events include one customer complaint, alleging that Assael 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 $40,000.00 on March 01, 2022.

Unsuitable recomendation based on bond performance