Reg BI

There are Recent Customer Complaints with Broker Charles Castro 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 Charles Castro (Castro), currently associated with David Lerner Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Castro 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.

Hold recommendation SOAEX, APLE\, June 12, 2007, date of the first purchase to July 24, 2023 the date the SOC was received.

Broker Kevin Canterbury in Coastal Equities, INC. Firm Has Customer Complaint

July 16, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Canterbury (Canterbury), previously associated with Coastal Equities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Canterbury 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 July 21, 2023.

Claimants allege unsuitable investments.

Broker Renee Amochaev in Portsmouth Financial Services Firm Has Customer Complaint

July 16, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Renee Amochaev (Amochaev), previously associated with Portsmouth Financial Services, has at least one disclosable event. These events include one customer complaint, alleging that Amochaev 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 $137,880.00 on July 24, 2023.

Failed to conduct reasonable and adequate due diligence, misrepresentation of risks, overconcentration of GWG bonds.

There are Recent Customer Complaints with Broker Daniel Della Rosa in Firm Corinthian Partners, L.l.c.

July 16, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Della Rosa (Della Rosa), previously associated with Corinthian Partners, L.l.c., has at least one disclosable event. These events include one customer complaint, alleging that Della Rosa 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 $75,000.00 on July 20, 2023.

Breach of fiduciary duty, violation of FINRA and NYSE rules, breach of contract, negligence, violation of Florida securities and investor protection act.

There are Recent Customer Complaints with Broker Stephen Kerutis in Firm Cetera Advisors LLC

July 16, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on July 26, 2023.

Customer alleges that she gave the advisor $500 in cash, which he took. Customer also alleges misrepresentation of market linked CDs. In a follow-up complaint dated 7/25/23, the customer also alleged forgery of her signature on account documents.

There are Recent Customer Complaints with Broker Twyla Youngblood in Firm Infinex Investments, INC.

July 16, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Twyla Youngblood (Youngblood), previously associated with Infinex Investments, INC., has at least one disclosable event. These events include one customer complaint, alleging that Youngblood 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 $75,000.00 on July 24, 2023.

Claimant is seeking estimated total damages between $75,000.00 – $125,000.002, including compensatory damages, as well as any other additional damages as this Panel May see fit, including improper fees, costs, and other expenses, plus interest, and costs, due to Respondent’s negligent, improper conduct, breach of contract, breach of fiduciary duty, negligence, negligent supervision, and violation of applicable laws and industry rules.

There are Recent Customer Complaints with Broker Jeffrey Scott in Firm Centaurus Financial, INC.

July 16, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on July 21, 2023.

The customers allege that the Registered Representative recommended a high-risk, speculative and illiquid investment. No specific dates for the alleged activity were identified in the Statement of Claim.

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

July 16, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andrew Rodgers (Rodgers), currently associated with Raymond James Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Rodgers 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 $134,953.00 on July 26, 2023.

Client alleged financial advisor did not exercise fiduciary duty while managing discretionary account.

There are Recent Customer Complaints with Broker Ronnie Cochran in Firm Nylife Securities LLC

July 16, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on July 24, 2023.

Customers allege that variable annuity distributions between 2022 – 2023 to fund the premiums on separate variable annuities created a higher tax liability while also placing the assets under surrender charges. The customers further allege that this did not consider the liquidity needs of the client.

Broker Marc Davis in Purshe Kaplan Sterling Investments Firm Has Customer Complaint

July 16, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Marc Davis (Davis), previously associated with Purshe Kaplan Sterling Investments, 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 settled customer complaint with a damage request of $1,306,374.00 on July 26, 2023.

Claimant alleges representative recommended they invest in an unsuitable Tenants-In-Common investment in 2007.