Articles Posted in Reg BI

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Hayes (Hayes), currently associated with Fifth Third Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Hayes 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 $320,000.00 on June 02, 2025.

Customer alleged sales of CMO/MBS securities were not suitable.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Raleigh Galiano (Galiano), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Galiano 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 June 05, 2025.

Customer alleges that investments made in 2013 were unsuitable for the customer’s investment objectives and risk tolerance.

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

FINRA BrokerCheck shows a pending customer complaint on June 04, 2025.

Client alleges failure to follow instructions.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Theodore Roman (Roman), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Roman 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 $972,498.00 on June 03, 2025.

The client alleges misrepresentation and suitability.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Pamela Mcwhorter (Mcwhorter), currently associated with Newbridge Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Mcwhorter 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 03, 2025.

Claimant asserts claims related to alleged misuse of margin.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Janet Franco Gordon (Franco Gordon), currently associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Franco Gordon 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 $1,475,256.00 on May 29, 2025.

Claimant alleges, inter alia, that the recommendation for the client to establish a line of credit at Morgan Stanley in order to generate funds for an outside investment they wanted to make was not in their best interests. Allegation Activity Dates: June 2023 to July 2023.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Hadden (Hadden), currently associated with Stifel, Nicolaus & Company, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Hadden 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 $1,626,116.07 on June 02, 2025.

Claimants allege breach of professional and fiduciary duties, breach of contract and violation of FINRA Rules, Consumer Protection Act, unjust enrichment, and failure to respond to reasonable inquiry.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Dobbs (Dobbs), currently associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Dobbs 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 June 02, 2025.

The customer alleges that in October of 2020, the Registered Representative misrepresented and recommended an unsuitable, illiquid investment.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Panno (Panno), currently associated with Buckman, Buckman & Reid, INC., has at least one disclosable event. These events include one customer complaint, alleging that Panno 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 $2,250,000.00 on June 05, 2025.

Failure to supervise

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Melissa Spickler (Spickler), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Spickler 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 $350,000.00 on May 29, 2025.

The claimant alleges unsuitable investment strategy and failure to follow instructions from 2020 to 2025.

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