Articles Posted in Reg BI

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Frank Dimartini (Dimartini), previously associated with Altitude Capital Group LLC, has at least one disclosable event. These events include one customer complaint, alleging that Dimartini 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 $1,500,000.00 on September 22, 2025.

Plaintiff alleges that the respondents misrepresented various investment opportunities to plaintiff.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Vlad Uchenik (Uchenik), currently associated with Inx Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Uchenik 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 $159,350.00 on September 25, 2025.

Customer alleges unsuitability, breach of contract and negligence on $3,500 worth of security tokens he purchased in April 2021 directly with INX Limited through an F1 offering , a company that was not affiliated with INX Securities, LLC (at the time called Openfinance Securities, LLC).

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brett Frum (Frum), currently associated with Kcd Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Frum 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 11, 2025.

Respondents recommended risky products. Transaction Dates: 7/10/2022, 07/21/2022, 08/07/2022 08/27/2022, and 12/08/2022.

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

FINRA BrokerCheck shows a pending customer complaint on November 11, 2025.

Client Alleges unsuitable and unmonitored strategy in their Advisory Retirement Accounts.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kimberly Neely (Neely), currently associated with Keystone Global / Redtail Capital Markets, LLC / Race Rock Capital LLC / Dalmore Group LLC / Mc Square Capital, LLC / Inx Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Neely 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 $159,350.00 on September 25, 2025.

Customer alleges unsuitability, breach of contract and negligence on $3,500 worth of security tokens he purchased in April 2021 directly with INX Limited through an F1 offering , a company that was not affiliated with INX Securities, LLC (at the time called Openfinance Securities, LLC).

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bryon Martinsen (Martinsen), previously associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Martinsen 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 $150,000.00 on November 10, 2025.

The customer alleges that in November 2017 and in December 2019, the Registered Representative recommended and misrepresented unsuitable, high-risk investments.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Douglas Dulac (Dulac), currently associated with United Planners’ Financial Services of America A Limited Partner, has at least one disclosable event. These events include one customer complaint, alleging that Dulac recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on October 06, 2025.

Unsuitable investments involving an alternative investment.

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

FINRA BrokerCheck shows a settled customer complaint on September 26, 2025.

The customer alleged the financial advisor did not verbally confirm withdrawals with the customer.

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

FINRA BrokerCheck shows a settled customer complaint on November 19, 2025.

Customer alleges Financial Advisor failed to follow instructions October 14 2025 to October 19 2025

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

FINRA BrokerCheck shows a pending customer complaint on November 24, 2025.

Customers allege registered representative did not fully disclose investments, which customers claim they would not have approved if they were told.

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