Reg BI

There are Recent Customer Complaints with Broker James Hedgspeth in Firm Morgan Stanley

July 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Hedgspeth (Hedgspeth), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Hedgspeth 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 $30,216.00 on July 18, 2023.

Customer alleges poor recommendation/advice and misrepresentation in 2022, resulting in high tax implications.

Broker Linett Batiste in Charles Schwab & Co., INC. Firm Has Customer Complaint

July 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Linett Batiste (Batiste), currently associated with Charles Schwab & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Batiste 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 $109,820.00 on July 20, 2023.

The client alleges misleading information was provided regarding CD interest rates.

There are Recent Customer Complaints with Broker Brad Burton in Firm Morgan Stanley

July 17, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on July 19, 2023.

The client alleges her former advisor recommended she transfer funds from her employer sponsored plans to a managed account without mentioning that the income from one of the plans is tax exempt from NY state. She claims the formerly tax-exempt income from the retirement account was made taxable when commingled with the other plan which has caused her city and state tax obligations to increase each year since 2019. She asks to be compensated.

Broker Ihab Elibiary in J.P. Morgan Securities LLC Firm Has Customer Complaint

July 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ihab Elibiary (Elibiary), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Elibiary 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 $49,051.00 on July 20, 2023.

Client, through counsel, alleges misrepresentation regarding variable annuity investment. Activity dates 4.25.22 – 4.10.23.

There are Recent Customer Complaints with Broker Robert Aikins in Firm LPL Financial LLC

July 17, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on July 20, 2023.

The customer alleges unauthorized trading in account from July 2021 to April 2023

There are Recent Customer Complaints with Broker Milind Dalal in Firm Purshe Kaplan Sterling Investments

July 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Milind Dalal (Dalal), previously associated with Purshe Kaplan Sterling Investments, has at least one disclosable event. These events include one customer complaint, alleging that Dalal 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 $500,000.00 on July 20, 2023.

Plaintiff alleges negligence and breach of fiduciary duty against Milind Dalal and his RIA in relation to outside business investment activity not associated with the RIA.

Broker Robert Edgecombe in Next Financial Group, INC. Firm Has Customer Complaint

July 17, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on July 19, 2023.

Customer alleges that her investment in a fixed index annuity on July 15, 2021 was not in her best interest.

Broker Bruce Davis in Wells Fargo Clearing Services, LLC Firm Has Customer Complaint

July 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bruce Davis (Davis), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Davis 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 $1,100,000.00 on July 18, 2023.

Claimants allege, inter alia, breach of fiduciary duty and fraud in relation to account activity. (2008-2022)

There are Recent Customer Complaints with Broker Joshua Rushing in Firm Cetera Advisors LLC

July 16, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joshua Rushing (Rushing), currently associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Rushing 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 $35,000.00 on July 23, 2023.

The client alleges trades place in November of 2022 were not authorized.

There are Recent Customer Complaints with Broker Russ Kory in Firm David Lerner Associates, INC.

July 16, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Russ Kory (Kory), previously associated with David Lerner Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Kory 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 July 24, 2023.

Unsuitability, misrepresentation/omission and breach of fiduciary duty with regards to E12 and SOAEX\, June 12, 2007, date of the first purchase to July 24, 2023 the date the SOC was received.