Reg BI

There are Recent Customer Complaints with Broker Randy Roesler in Firm Cetera Advisors LLC

July 25, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Randy Roesler (Roesler), currently associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Roesler 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 $250,000.00 on May 12, 2025.

Plaintiff alleges breach of fiduciary duty concerning funds transferred from a 529 account. Timeframe: 2011 – 2018

There are Recent Customer Complaints with Broker Cynthia Price in Firm Equitable Advisors, LLC

July 25, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Cynthia Price (Price), currently associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Price 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 May 13, 2025.

Client alleges VA’s purchased in 2025 were not suitable for her financial needs and fees were not disclosed.

There are Recent Customer Complaints with Broker Stephen Siegle in Firm RBC Capital Markets, LLC

July 25, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stephen Siegle (Siegle), currently associated with RBC Capital Markets, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Siegle 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 $19,000.00 on May 09, 2025.

The client alleged the financial advisor did not act in the best interest when transferring assets to another broker dealer.

There are Recent Customer Complaints with Broker Barry Porter in Firm UBS Financial Services INC.

July 25, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Barry Porter (Porter), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Porter 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 $18,007.36 on May 09, 2025.

Time Frame: December 10th, 2020 to May 9th, 2025\, \, What were the allegations against the individual? Client alleges they advised they did not to hold any investments in their portfolio owned or controlled by a CCP person or entity and as a result this investment was unsuitable for their account.

Broker John Grigg in Fidus Securities, LLC Firm Has Customer Complaint

July 25, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on May 12, 2025.

Claim for injunctive relief and declaratory judgment regarding collection of two judgments\, previously entered by Maricopa County Superior Court in connection with a 2014 asset\, purchase arrangement. Plaintiff, Fibers Plus, LLC, alleges fraudulent transfer, conversion,\, civil conspiracy, and alter ego liability. Mr. Grigg was not a named party in the related litigation\, leading up to this complaint. He is a named party in the current litigation in his capacity\, as the Managing Director and member of the investment committee of Fidus Investment Corp.

There are Recent Customer Complaints with Broker Theodore Franse in Firm Ni Advisors

July 25, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Theodore Franse (Franse), currently associated with Ni Advisors, has at least one disclosable event. These events include one customer complaint, alleging that Franse 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 $190,000.00 on May 10, 2025.

Claimant alleges unsuitability, negligence, etc. Regarding 2018-2020 purchases of corporate bond after issuer declared bankruptcy. Issuer is current in the process of executing wind-down trust with intended distributions to bond holders.

Broker James Blalock in LPL Financial LLC Firm Has Customer Complaint

July 24, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on May 16, 2025.

Customer alleges theft even though account is closed with zero balance.

Broker Nicholas Schlagheck in Cape Securities INC. Firm Has Customer Complaint

July 24, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nicholas Schlagheck (Schlagheck), currently associated with Cape Securities INC., has at least one disclosable event. These events include one customer complaint, alleging that Schlagheck 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 $15,696.80 on May 15, 2025.

Customer claims that the investment in Eagle Point Credit Interval Fund was misrepresented and unsuitable due to its risk. Additionally, the customer claims that she never met with or spoke to Nicholas Schlagheck and that all dealings were with John Schlagheck, Nicholas’ father, who is barred from the industry.

Broker Skylar Winkles in Morgan Stanley Firm Has Customer Complaint

July 24, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on May 15, 2025.

Client alleges, inter alia, breach of fiduciary duty with respect to recommendation to enter stop-loss order 2025

There are Recent Customer Complaints with Broker Brian Hoffman in Firm Janney Montgomery Scott LLC

July 24, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Hoffman (Hoffman), previously associated with Janney Montgomery Scott LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hoffman 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 $784,447.27 on May 14, 2025.

Client claims that Financial Advisor failed to execute trades to implement her financial plan resulting in lack of growth in her accounts. Allegation Time Period: June 2022 to November 2023.