Reg BI

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

August 7, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stephen Melz (Melz), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Melz recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on February 11, 2025.

Client alleges misrepresentation in July 2019.

Broker Seyed Ahmad Hashemian in Centaurus Financial, INC. Firm Has Customer Complaint

August 7, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Seyed Ahmad Hashemian (Hashemian), currently associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Hashemian 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 January 23, 2025.

The customer alleges that during the period of 2020 through 2021 the Registered Representative recommended and misrepresented two unsuitable, high-risk, illiquid investments and breached his fiduciary duty.

Broker Robert Fagan in Cetera Advisors LLC Firm Has Customer Complaint

August 7, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Fagan (Fagan), currently associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Fagan 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 January 15, 2025.

Unsuitable recommendations of alternative investments.

There are Recent Customer Complaints with Broker Thomas Scheiman in Firm Independence Capital Co., INC.

August 7, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Scheiman (Scheiman), currently associated with Independence Capital Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Scheiman 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 January 20, 2025.

Registered representavie Jeffrey Rocheck invested customers in a non existing Real Estate 2017 to 04/2024

Broker Burton Bartlett in Landolt Securities, INC. Firm Has Customer Complaint

August 7, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Burton Bartlett (Bartlett), previously associated with Landolt Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Bartlett 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 $50,000.00 on February 26, 2025.

Burton Bartlett II was named in a customer complaint that asserted the following causes of action: Unsuitable and Misleading Investment Recommendations, Material Misrepresentations and Omitted Material Facts, Fraudulent Concealment of Material Information, Negligence, Breach of Fiduciary Duty, and Violation of Wisconsin Uniform Securities Law.

There are Recent Customer Complaints with Broker Stephanie Anderson in Firm Cetera Advisors LLC

August 6, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stephanie Anderson (Anderson), currently associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Anderson 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 $130,000.00 on April 07, 2025.

Rep failed to follow through on clients instructions to move their accounts to cash accounts before the downturn.

Broker Glen Guinto in Wells Fargo Clearing Services, LLC Firm Has Customer Complaint

August 6, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Glen Guinto (Guinto), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Guinto 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 $5,532.38 on March 12, 2025.

The client complained that the Financial Advisor did not explain that commissions would be charged on the purchase of securities. The client requests reimbursement for all commissions paid. (12/24/2024 – 03/12/2025)

There are Recent Customer Complaints with Broker Nicholas Nowakowski in Firm Vanguard Marketing Corporation

August 6, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on April 04, 2025.

The client alleged that he instructed his advisor not to rebalance account with cash from his settlement account needed to repurchase a house. The corrective trades caused a loss. Activity date was April 4, 2025 through April 7, 2025.

Broker Patrick Millian in UBS Financial Services INC. Firm Has Customer Complaint

August 6, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Patrick Millian (Millian), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Millian 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 $8,000.00 on April 09, 2025.

Time Frame: March 31st, 2025 to April 3rd, 2025\, \, What were the allegations against the individua: lThe client alleges that the financial advisor failed to follow her instructions by investing her account prior to when she wanted. The client further alleges that some of the investment decisions were against her risk tolerance.

Broker Marc Korsch in Arkadios Capital Firm Has Customer Complaint

August 6, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Marc Korsch (Korsch), previously associated with Arkadios Capital, has at least one disclosable event. These events include one customer complaint, alleging that Korsch 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 $150,000.00 on April 07, 2025.

The customers allege that the Registered Representative recommended and misrepresented unsuitable, high-risk, illiquid investments. No specific dates for the alleged activity were identified in the Statement of Claim.