Articles Posted in Reg BI

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Megurditch Patatian (Patatian), previously associated with Supreme Alliance LLC, has at least one disclosable event. These events include one customer complaint, alleging that Patatian 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 $5,000.00 on July 09, 2025.

Unsuitable investment in 3 real estate investment trusts in 2013, 2015, and 2016

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Peter Po (Po), currently associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Po 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 July 11, 2025.

Information contained herein was obtained from the U5 filing by representative’ previous firm. Claim alleges breach of contract, breach of fiduciary duty, failure to supervise, violation of Best Interest obligation for bonds purchased in 2020

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Derek Johnson (Johnson), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Johnson 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 $750,000.00 on June 30, 2025.

Claimant alleges, inter alia, unsuitability with respect to equity investments  –  December 2023 through May 2025

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

FINRA BrokerCheck shows a pending customer complaint on June 27, 2025.

Claimant alleges inter alia, unsuitable investment recommendations and violations of Reg BI with respect to securities-backed line of credit strategy 2014-2024

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Vasilios Takos (Takos), currently associated with Dominari Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Takos 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 $200,000.00 on June 28, 2025.

A former customer of Registered Representative alleges damages arising from Registered Representative’s ‘unsuitable investment advice, misrepresentation and breach of FINRA rules and obligations in relation to [his] investment’.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Schiavello (Schiavello), currently associated with Dominari Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Schiavello 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 $200,000.00 on June 28, 2025.

A former customer of Registered Representative alleges damages arising from Registered Representative’s ‘unsuitable investment advice, misrepresentation and breach of FINRA rules and obligations in relation to [his] investment’.

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

FINRA BrokerCheck shows a pending customer complaint on July 08, 2025.

Claimant alleges breach of fiduciary duty, negligence, failure to supervise, violation of FINRA Rules and industry standards as the result of a withdrawal made on November 1, 2024.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Jacobi (Jacobi), previously associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Jacobi 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 July 07, 2025.

Claimant alleges an unsuitable investment was recommended by Advisor.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Coffin (Coffin), currently associated with Cambridge Investment Research, INC., has at least one disclosable event. These events include one customer complaint, alleging that Coffin 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 $5,000.00 on July 10, 2025.

Customer alleges improper timing of annuity solicitation in 2021.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Luis Gesualdo Perez (Gesualdo Perez), previously associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Gesualdo Perez 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 $5,000.00 on July 08, 2025.

Client alleges the RR made misrepresentations in connection with a variable annuity purchased in 2006.

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