Articles Posted in Reg BI

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Rocco Guidicipietro (Guidicipietro), currently associated with Alexander Capital, L.p., has at least one disclosable event. These events include one customer complaint, alleging that Guidicipietro 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 $499,000.99 on June 10, 2025.

Allegations include; breach of fiduciary duties; failure to supervise; negligence and gross negligence; violation of FINRA Rules, violation of the federal securities laws, and violation of the Best Interest Obligations (Reg BI).\, December 2018 & May 2019.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Paul Murray (Murray), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Murray 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 $4,000,000.00 on June 06, 2025.

Client alleges, inter alia, that he was taken advantage of by how his account was managed  2008-2009

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Scot Barringer (Barringer), previously associated with American Trust Investment Services, INC., has at least 3 disclosable events. These events include one customer complaint, 2 regulatory events, alleging that Barringer recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on June 10, 2025.

Customer Alleges Breach of contract and warranties, promissory estoppel, violation of fraud and estate securities statutes and the deceptive trade practices act, intentional and negligent misrepresentations of material fact and statutes and the deceptive trade practices act, intentional and negligent misrepresentations of material fact and vicarious liability in conjunction with their purchase of GWG.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Fariba Madison (Madison), currently associated with Vanderbilt Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Madison 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 $358,000.00 on June 09, 2025.

Customer alleges that an investment recommendation was unsuitable and misleading.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sarah Black (Black), currently associated with Fidelity Brokerage Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Black 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 $100,000.00 on June 13, 2025.

Customer alleged that the representative made an unsuitable recommendation to invest in a managed account.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Davis (Davis), previously associated with Northwestern Mutual Investment Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Davis recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on June 11, 2025.

Customer alleges that, in or around November 2020, the representative positioned a variable universal life insurance policy as a tax-free alternative to an investment account and did not adequately explain when the policy would be issued or the premiums associated with insurance.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Catherine Mclarty (Mclarty), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mclarty 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 $17,900.00 on June 11, 2025.

The client’s alleges advisor failed to follow instruction regarding allocation of funds.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Timothy Roark (Roark), previously associated with Valmark Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Roark 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 $1,000,000.00 on June 15, 2025.

The complaint alleges that Koss Olinger acted as an investment advisor to [REDACTED] and her trust from 2008 through 2025. Mr. Olinger II is named as a Control Defendant associated with Koss Olinger. A series of investments and loan guarantees made by [REDACTED] during this time are the sources of the allegations.

Continue Reading

| by

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

FINRA BrokerCheck shows a pending customer complaint on June 11, 2025.

Customer alleges an annuity purchase and subsequent exchange was not in her best interest, resulting in market loss and loss of death benefit.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jerice Walker (Walker), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Walker 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 $1,003,025.92 on June 10, 2025.

Claimant alleges that in April 2025, the registered representative failed to follow instructions.

Continue Reading
Contact Information
295 Madison Ave #705
New York, NY 10017
Toll Free: 800-810-4262
3706 N Greenview Ave
#100
Chicago, IL 60613
28 Valley Rd
#1
Montclair, NJ 07042
ATTORNEY ADVERTISING

This site is protected by reCAPTCHA and the Google Privacy Policy and Terms of Service apply.

Please do not include any confidential or sensitive information in a contact form, text message, or voicemail. The contact form sends information by non-encrypted email, which is not secure. Submitting a contact form, sending a text message, making a phone call, or leaving a voicemail does not create an attorney-client relationship.

Copyright © 2025, Gana Weinstein LLP
JUSTIA Law Firm Blog Design