Articles Posted in Reg BI

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gerald Hanifan (Hanifan), currently associated with Usa Financial Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hanifan 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 June 18, 2025.

Gerald Hanifan has been named in FINRA Dispute Resolution Services Arbitration Number 24-00233. The complainants are alleging that Mr. Hanifan placed them in unsuitable investments, by failing to explain the investments in great enough detail.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kim Block (Block), previously associated with Valic Financial Advisors, INC., has at least one disclosable event. These events include one customer complaint, alleging that Block 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 $50,000.00 on August 26, 2025.

Customer alleged misrepresentation related to the sale of an annuity.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Perkins (Perkins), currently associated with Hatteras Capital Distributors, LLC, has at least 6 disclosable events. These events include 6 customer complaints, alleging that Perkins recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on May 20, 2025.

Plaintiffs bring this Verified Amended Class Action Complaint against Defendants for tortious interference with contractual and unitholder voting rights stemming from the Hatteras Plan of Liquidation.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ricky Meyer (Meyer), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Meyer 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 $8,397.17 on September 02, 2025.

Customer alleges that she was not informed of illiquid nature of REIT at time of purchase.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Rohn (Rohn), currently associated with Moloney Securities Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Rohn 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 August 14, 2025.

Suitability/negligence. 2021

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

FINRA BrokerCheck shows a pending customer complaint on September 10, 2025.

Time frame: Unspecified. Customers allege breach of fiduciary duty, unsuitable investments, material misrepresentations, material omissions, breach of FINRA rules and breach of contract on the part of Registered Representative in relation to the customers investments.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Travis Lippmann (Lippmann), currently associated with Spartan Capital Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lippmann 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 $607,052.00 on September 11, 2025.

Gross mishandling and unauthorized reallocaion of claimants portfolio philosphy

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Loucas Kalliantasis (Kalliantasis), currently associated with Key Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kalliantasis 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 $7,372.68 on September 09, 2025.

Client sent letter stating he did not realize he would be assessed a surrender charge when he exchanged his Protective Life fixed annuity to Nationwide Secure fixed annuity.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Khin N Satt (Satt), currently associated with Transamerica Financial Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Satt 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 $16,238.61 on September 09, 2025.

Client alleged that rep misrepresented the product

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Blake Scherr (Scherr), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Scherr 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 12, 2025.

Client alleges improper solicitation of an account from 9/2024 to 5/2025.

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