Reg BI

There are Recent Customer Complaints with Broker Kevin Wilson in Firm Sw Financial

November 6, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Wilson (Wilson), previously associated with Sw Financial, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Wilson 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 $185,000.00 on September 06, 2022.

Allege RR misrepresented investments and purchased speculative investments that were not suitable

Broker Richard Scheller in Centaurus Financial, INC. Firm Has Customer Complaint

November 6, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Scheller (Scheller), previously associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Scheller 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 $45,000.00 on September 06, 2022.

During 2015, the customer alleges that the Registered Representative recommended an unsuitable, high-risk or speculative and illiquid investment.

There are Recent Customer Complaints with Broker Hodo Salovic in Firm A.g.p. / Alliance Global Partners

November 6, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Hodo Salovic (Salovic), previously associated with A.g.p. / Alliance Global Partners, has at least one disclosable event. These events include one customer complaint, alleging that Salovic 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 $6,000.00 on September 02, 2022.

Client claims former RR overconcentrated his account in GRPN and MRO and has sustained losses of $6,000

Broker Kamran Aghili in Osaic Wealth, INC. Firm Has Customer Complaint

November 6, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kamran Aghili (Aghili), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Aghili 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 $5,000.00 on September 01, 2022.

Customer alleges that representative went forward with variable annuity purchase contrary to her instructions.

Broker Steven Busto in PHX Financial, INC. Firm Has Customer Complaint

November 6, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a award / judgment customer complaint with a damage request of $83,045.00 on September 09, 2022.

During the timeframe of 06/ 26/2021 thru 07/23/202.

There are Recent Customer Complaints with Broker Henry Liu in Firm Aegis Capital Corp.

November 6, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Henry Liu (Liu), currently associated with Aegis Capital Corp., has at least one disclosable event. These events include one customer complaint, alleging that Liu 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 $50,000.00 on September 08, 2022.

Claimant alleges unsuitable investment recommendation and breach of fiduciary duty

Broker Frank Barravechia in IBN Financial Services, INC. Firm Has Customer Complaint

November 6, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Frank Barravechia (Barravechia), currently associated with IBN Financial Services, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Barravechia 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 $348,000.00 on September 12, 2022.

Client claims unsuitable investments and misrepresentation with the purchase of GWG Holdings L Bonds. Alleged activity occurred between 2017 and 2019

Broker Allen Carter Jr. in UBS Financial Services INC. Firm Has Customer Complaint

November 6, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Allen Carter Jr. (Carter Jr.), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Carter Jr. 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 $7,000.00 on September 06, 2022.

Time Frame August 11, 2022 to August 15, 2022\, \, The client alleges he did not give authorization to execute trades.

There are Recent Customer Complaints with Broker Phillip Biffle in Firm Edward Jones

November 6, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on September 06, 2022.

Plaintiff, as personal representative of client’s estate, asserts claims based on allegations the registered representative failed to follow instructions regarding a beneficiary designation and gave inaccurate information regarding the status of the designation.

There are Recent Customer Complaints with Broker Craig Carson in Firm Intervest International Equities Corporation

November 6, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Craig Carson (Carson), previously associated with Intervest International Equities Corporation, has at least 5 disclosable events. These events include 5 customer complaints, alleging that Carson 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 $922,349.00 on September 06, 2022.

Claimant alleges violations of state and federal securities acts, breach of fiduciary duties and negligence, constructive fraud, breach of contract and failure to supervise.