Reg BI

There are Recent Customer Complaints with Broker Michael Gunter in Firm Raymond James Financial Services, INC.

January 26, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on August 30, 2021.

Client alleges that now-deceased FA caused checks to be written from client’s account for unauthorized purposes.

There are Recent Customer Complaints with Broker Max Larsen in Firm Osaic Wealth, INC.

January 26, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Max Larsen (Larsen), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Larsen 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 August 24, 2021.

Claimants allege that the representative recommended investments that were unsuitable.

There are Recent Customer Complaints with Broker Roger Bennett in Firm Cambridge Investment Research, INC.

January 26, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Roger Bennett (Bennett), previously associated with Cambridge Investment Research, INC., has at least one disclosable event. These events include one customer complaint, alleging that Bennett 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 $31,673.34 on August 30, 2021.

Allegations include negligence, breach of contract and breach of fiduciary duty.

Broker Craig Hauger in Osaic Wealth, INC. Firm Has Customer Complaint

January 26, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Craig Hauger (Hauger), currently associated with Osaic Wealth, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Hauger 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 August 26, 2021.

The Claimant alleges the financial professional recommended an alternative investment that was unsuitable.

Broker Jonathan Vogel in LPL Financial LLC Firm Has Customer Complaint

January 25, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jonathan Vogel (Vogel), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Vogel 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 $23,400.00 on September 10, 2021.

Beginning in or around 2020, the complainant alleges that the rep recommended that she 1035 exchange the cash value of her universal life insurance policy into a new variable life insurance policy and said there would be no penalties for doing so.

There are Recent Customer Complaints with Broker Elizabeth Teifer in Firm Herbert J. Sims & Co, INC.

January 25, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Elizabeth Teifer (Teifer), currently associated with Herbert J. Sims & Co, INC., has at least one disclosable event. These events include one customer complaint, alleging that Teifer 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 September 03, 2021.

Unsuitability, Misrepresentation/omission, Breach of Fiduciary Duty

Broker Daniel Solakian in Allied Millennial Partners, LLC Firm Has Customer Complaint

January 25, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Solakian (Solakian), currently associated with Allied Millennial Partners, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Solakian 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 $250,000.00 on September 02, 2021.

Alleged sale of unsuitable investment in 2015

Broker Rashard Cook in LPL Financial LLC Firm Has Customer Complaint

January 25, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Rashard Cook (Cook), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Cook 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 $100,000.00 on September 07, 2021.

Claimant alleges REIT investments purchased were misrepresented.

There are Recent Customer Complaints with Broker Stephen Levin in Firm Corecap Investments, INC.

January 25, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stephen Levin (Levin), previously associated with Corecap Investments, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Levin 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 $99,999.00 on September 07, 2021.

The client alleges the investments he purchased between 2012-2015 were unsuitable and misrepresented to him by the representative. The client further alleges the firm failed to supervise the actions of the representative and failed to conduct adequate due diligence.

Broker Steven Caparco in Allstate Financial Services, LLC Firm Has Customer Complaint

January 25, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on September 10, 2021.

Representative informed the customers their would not be any tax consequence upon the liquidation and transfer of assets in their Individual and Joint brokerage accounts. Activity occurred in September 2021.