Articles Posted in Reg BI

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Chan (Chan), currently associated with Citigroup Global Markets INC., has at least one disclosable event. These events include one customer complaint, alleging that Chan 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 $550,000.00 on March 04, 2026.

Claimant alleges unsuitability; violations of California’s Blue Sky law; negligence; failure to supervise; failure to act in claimant’s best interest; use of manipulative, deceptive, or other fraudulent devices; breach of fiduciary duty; and breach of contract.

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

FINRA BrokerCheck shows a pending customer complaint on March 05, 2026.

Client alleges, inter alia, that the recommendation to invest in an alternative investment fund was unsuitable 2008 damages unspecified

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jason Lowther (Lowther), currently associated with Concorde Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lowther 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 March 05, 2026.

Customer alleges the representative did not act in the best interest of the retail customer when recommending investment to the customer in June 2020.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Rubin (Rubin), currently associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Rubin 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 $550,000.00 on March 09, 2026.

Client alleged advisor sold them an unsuitable investment, resulting in losses. Allegation activity dates: 2/1/2022 through 4/30/2025.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Swain (Swain), currently associated with Raymond James Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Swain 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 $1,700,000.00 on March 09, 2026.

Claimant alleges his accounts were over-diversified and should have appreciated in value more than they did.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven Ircha (Ircha), currently associated with Aegis Capital Corp., has at least one disclosable event. These events include one customer complaint, alleging that Ircha 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 March 06, 2026.

Claimant expresses concerns regarding the alleged suitability of investments and potential breaches of fiduciary duty and Regulation Best Interest (Reg BI).

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kelly Crane (Crane), currently associated with Wealth Enhancement Brokerage Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Crane 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 $60,000.00 on March 04, 2026.

The Firm received a written customer complaint alleging various claims, including but not limited to unsuitable investments.

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

FINRA BrokerCheck shows a pending customer complaint on March 09, 2026.

Purchased DST as part of a 1031 tax-deferred exchange. Claimant alleges a lack of suitability and due diligence, breach of contract and fiduciary duty, among other claims. Purchase dates of investments include May 2, 2022, and May 31, 2022.

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

FINRA BrokerCheck shows a settled customer complaint on March 11, 2026.

Client alleges misrepresentation with respect to commissions charged on individual trades and opening of managed account

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Murphy (Murphy), currently associated with Key Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Murphy 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 $20,000.00 on March 10, 2026.

Failure to timely transfer an annuity resulted in an automatic renewal resulting in surrender charges and lost interest.

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