Articles Posted in Reg BI

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alexander Fischman (Fischman), currently associated with Wells Fargo Advisors Financial Network, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Fischman 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 Peter Dale (Dale), currently associated with Raymond James Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Dale 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 Reed Haimson (Haimson), currently associated with Great Point Capital LLC, has at least one disclosable event. These events include one customer complaint, alleging that Haimson 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 $475,000.00 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 date of the investment is February 28, 2023.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Jones (Jones), currently associated with Quincy Wells Capital, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Jones 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 $475,000.00 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 date of the investment is February 28, 2023.

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

FINRA BrokerCheck shows a pending customer complaint on March 10, 2026.

Plaintiff alleges breach of fiduciary duty related to the sale of several parcels of land to another party.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Edward Stephens (Stephens), previously associated with Raymond James Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Stephens 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 $120,000.00 on March 10, 2026.

Former RJFS client alleges FA improperly withdrew money from bank account\, related to business venture involving client and FA on which FA had signatory\, authority.

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

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

Breach of contract, violation of securities laws and Regulation Best Interest.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Carrie Cocanour (Cocanour), currently associated with Kestra Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Cocanour 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 $26,433.71 on March 11, 2026.

Brokers are required to adhere to the SEC’s Regulation Best Interest (Reg BI) standard of care under the Securities Exchange Act of 1934 which establishes a ‘best interest’ standard for broker-dealers and associated persons. This standard applies when a registered representative is providing investment advice through making recommendations customers and covers securities transaction, investment strategies, and recommendations concerning advice on opening of an account or accounts. Reg BI applies when brokers recommend a retail investor engage in securities transaction or an investment strategy involving one or more securities.  Reg BI also applies to financial advice concerning the transfer of funds and opening of accounts.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Benjamin Sweeney (Sweeney), currently associated with Morgan Stanley, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Sweeney recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on March 10, 2026.

Client’s attorney alleges, inter alia, that municpal bond strategy implemented in the client’s account was not in their best interests 2024

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Mason (Mason), currently associated with Truist Investment Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Mason 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 $56,351.00 on March 10, 2026.

Client alleges poor performance in their accounts from February 2021 to March 2023 and is requesting damages of $56,351.

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