Reg BI

Broker Joshua Tabaj in Lincoln Financial Advisors Corporation Firm Has Customer Complaint

November 16, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on June 06, 2022.

Claimant alleges the RR recommended an unsuitable Oil & Gas investment.

There are Recent Customer Complaints with Broker Gregory Melendez in Firm Network 1 Financial Securities INC.

November 16, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gregory Melendez (Melendez), currently associated with Network 1 Financial Securities INC., has at least one disclosable event. These events include one customer complaint, alleging that Melendez 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 June 10, 2022.

Client alleges unsuitable recommendations.

There are Recent Customer Complaints with Broker Michael Illari in Firm Charles Schwab & Co., INC.

November 16, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on June 06, 2022.

The client alleges the representative provided a poor recommendation when advising the client to enroll in the Wasmer Schroeder Short Duration Bond Investment Strategy.

There are Recent Customer Complaints with Broker Robert Bragg in Firm Newbridge Securities Corporation

November 16, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on June 10, 2022.

Negligence, Unsuitable Recommendations, Negligent Supervision, Fraud, Violation of FINRA Rule 2210.

Broker Kyle Corgan in Newbridge Securities Corporation Firm Has Customer Complaint

November 16, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kyle Corgan (Corgan), currently associated with Newbridge Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Corgan 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 June 07, 2022.

Negligence, Breach of Fiduciary Duty, Negligent Supervision

There are Recent Customer Complaints with Broker Yoil Awabdeh in Firm Wells Fargo Clearing Services, LLC

November 16, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on June 11, 2022.

Power of Attorney complained that she was not informed that the mutual funds purchased in her mother’s account required an 18 month holding period. (2/14/2022-6/11/2022)

Broker Gaspar Garcia in Newbridge Securities Corporation Firm Has Customer Complaint

November 16, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gaspar Garcia (Garcia), previously associated with Newbridge Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Garcia 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 $150,000.00 on June 09, 2022.

Negligence, Breach of Fiduciary Duty, Negligent Supervision, Fraud

Broker Brian Bishop in LPL Financial LLC Firm Has Customer Complaint

November 16, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on June 13, 2022.

Claimant alleges that during the time period October 2017 to November 2020, representative consolidated funds into an account without consulting with the accountholder as to whether changes should be made to the beneficiary elections.

Broker Clark Harris in Aurora Securities Firm Has Customer Complaint

November 16, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Clark Harris (Harris), currently associated with Aurora Securities, has at least one disclosable event. These events include one customer complaint, alleging that Harris 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 $143,366.00 on June 10, 2022.

Per Sigma Financial Corporation, the client filed a demand letter alleging that between 2010 – 2015, the representative made unsuitable recommendations and encouraged the customer to invest in a non-traded direct participation program (DPP) and a REIT. The claim further alleges the representative did not have the required securities registration to make the recommendation and that the firm failed to adequately supervise the representative.

Broker Angela Schueman in LPL Financial LLC Firm Has Customer Complaint

November 16, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Angela Schueman (Schueman), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Schueman 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 $93,231.00 on June 08, 2022.

Claimant alleges representative’s recommendation to withdraw funds from an annuity caused Claimant financial harm. Time period: August 2018 to July 2020.