Articles Posted in Reg BI

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Clovis Morrison (Morrison), currently associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Morrison 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 September 26, 2025.

The customer alleges that, the Registered Representative recommended and misrepresented illiquid Alternative investments. No specific dates for the alleged activity were identified in the Statement of Claim.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Timothy Tremblay (Tremblay), currently associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Tremblay 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 $1,000,000.00 on September 23, 2025.

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

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

FINRA BrokerCheck shows a pending customer complaint on September 18, 2025.

Client, who instructed representative to invest her accounts in a low-risk, preservation of capital strategy involving cash-type vehicles, alleges that representative failed to act in her interests by placing her funds into a bank deposit program without explaining the features of the bank deposit program and failing to offer other higher-yielding alterative investment vehicles outside of the bank deposit program. Client seeks damages of up to $50,000 representing lost opportunity costs had her funds been invested in other investment vehicles.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Forrester (Forrester), currently associated with Newbridge Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Forrester 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 September 23, 2025.

Breach of contract, breach of fiduciary duty, failure to supervise, negligence, misrepresentation, violation of federal securities laws, and violation of reg bi.

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

FINRA BrokerCheck shows a settled customer complaint on October 02, 2025.

Client alleges that she did not give instructions to liquidate remaining positions in her account 2025

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sean Hurley (Hurley), currently associated with B. Riley Wealth Management, has at least one disclosable event. These events include one customer complaint, alleging that Hurley 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 September 30, 2025.

Client alleges RRs made unsuitable recommendations in Movano, Inc. (MOVE) & iShares Russian ETF (ERUS)

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

FINRA BrokerCheck shows a pending customer complaint on September 29, 2025.

Claimants allege, inter alia, that the options trading strategy implemented in their trust accounts between Jan 2018 and May 2025 was unsuitable and misrepresented

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

FINRA BrokerCheck shows a pending customer complaint on October 03, 2025.

Breach of contract and warranties, promissory estoppel, consumer protection and deceptive trade practices act, violations of securities statutes, breach of fiduciary duty, claims under common law, vicarious liability, violation of Regulation Best Interest.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jacob Martin (Martin), currently associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Martin 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 $5,001.00 on October 02, 2025.

The complainant alleges that beginning in/and around August 2019, the registered representative misrepresented investments, securities and insurance products and had no basis to believe these were suitable products.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Hackett (Hackett), currently associated with B. Riley Wealth Management, has at least one disclosable event. These events include one customer complaint, alleging that Hackett 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 September 30, 2025.

Client alleges RRs made unsuitable recommendations in Movano, Inc. (MOVE) and iShares Russian ETF (ERUS)

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