Reg BI

Broker Joseph Valdes in Lincoln Investment Firm Has Customer Complaint

July 21, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Valdes (Valdes), currently associated with Lincoln Investment, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Valdes 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 $30,000.00 on April 03, 2020.

Clients allege they met with their registered representative on March 9, 2020 to request their accounts be moved to a fixed interest option. The requested transactions were not performed by the registered representative, causing their accounts to incur market losses.

Broker David Hollenberg in RBC Capital Markets, LLC Firm Has Customer Complaint

July 21, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Hollenberg (Hollenberg), currently associated with RBC Capital Markets, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Hollenberg recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on April 06, 2020.

Client complains that his realized gains were exceptionally high, despite being assured by his financial advisor that he would have no capital gains issues. Time frame is 6/2019 thru 12/2019.

Broker Burton Apfelbaum in LPL Financial LLC Firm Has Customer Complaint

July 21, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Burton Apfelbaum (Apfelbaum), currently associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Apfelbaum 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 $35,000.00 on April 03, 2020.

Customer alleges a failure to follow instructions to move accounts to cash. Activity period: 2/27/20 to 4/3/20.

Broker Christopher Dursi in LPL Financial LLC Firm Has Customer Complaint

July 21, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Dursi (Dursi), currently associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Dursi 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 April 07, 2020.

ON OCTOBER 11, 2019, CHRIS DURSI MET WITH THE CLIENT TO PURCHASE AN INDEX ANNUITY THROUGH PEOPLE’S SECURITIES, INC. (‘PSI’). IN CONNECTION WITH THE PURCHASE OF THE ANNUITY, THE CLIENT SOLD SHARES OF STOCK HELD AT ANOTHER BROKER-DEALER UNAFFILIATED WITH PSI. THE CLIENT ALLEGED THAT MR. DURSI DID NOT INFORM AND ADVISE HER OF CERTAIN TAX LIABILITIES INCURRED FROM SELLING THE STOCK.

There are Recent Customer Complaints with Broker Mark Reinstein in Firm Dempsey Lord Smith, LLC

July 21, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Reinstein (Reinstein), previously associated with Dempsey Lord Smith, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Reinstein 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 $175,000.00 on April 06, 2020.

Reinstein was a subject of the customer\\u2019s complaint against his member firm that asserted the following causes of action: breach of fiduciary duty; violation of FINRA rules; breach of contract; negligence; and negligent supervision.

There are Recent Customer Complaints with Broker Patricia Bebber in Firm Wells Fargo Clearing Services, LLC

July 21, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Patricia Bebber (Bebber), currently associated with Wells Fargo Clearing Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Bebber recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on April 02, 2020.

Client verbally complained that the financial advisor failed to take appropriate action to prevent him from depleting his assets through speculative transactions and unsustainable withdrawals. (5/1/2016-4/2/2020)

There are Recent Customer Complaints with Broker Gerald Repasz in Firm Ausdal Financial Partners, INC.

July 21, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gerald Repasz (Repasz), previously associated with Ausdal Financial Partners, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Repasz 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 $100,000.00 on April 02, 2020.

Unsuitable investments

There are Recent Customer Complaints with Broker Richard Westerman in Firm Northwest Investment Advisors, INC.

July 21, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Westerman (Westerman), previously associated with Northwest Investment Advisors, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Westerman recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on April 06, 2020.

Sales practices

There are Recent Customer Complaints with Broker David Crawford in Firm David Lerner Associates, INC.

July 8, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Crawford (Crawford), previously associated with David Lerner Associates, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Crawford 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 $15,808.18 on July 16, 2020.

Crawford was a subject of the customer’s complaint against his member firm and/or other named respondent(s) that asserted the following causes of action: failure to timely execute sale; and breach of fiduciary duty. The causes of action relate to sale of Lord Abbett mutual fund.

Broker Tyler Bashaw in Kingswood Capital Partners, LLC Firm Has Customer Complaint

July 8, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Tyler Bashaw (Bashaw), currently associated with Kingswood Capital Partners, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Bashaw 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 $40,000.00 on July 14, 2020.

Newbridge Securities Corporation is a named party of an arbitration with the allegation of negligence, breach of fiduciary duty, and negligent supervision. The registered representative, Tyler Bashaw, was not named in the arbitration and was only mentioned in the subject of the statement of claim.