Reg BI

Broker Keith Patterson in Cetera Wealth Services, LLC Firm Has Customer Complaint

January 28, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Keith Patterson (Patterson), currently associated with Cetera Wealth Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Patterson 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 August 05, 2021.

Claimants alleged unsuitability of alternative investment which caused financial harm. The allegations include unsuitability, fraud, breach of contract, breach of fiduciary duty, negligence and violation of laws.

Broker Paul Drolson in First Allied Securities, INC. Firm Has Customer Complaint

January 28, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on August 09, 2021.

Claimant generally alleges suitability, breach of contract, negligent supervision, and breach of fiduciary duty.

There are Recent Customer Complaints with Broker Frederick Atiyeh in Firm LPL Financial LLC

January 28, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on August 09, 2021.

The customer alleges lack of proper due diligence, lack of suitability and over concentration in regards to investments in alternative and variable annuity products.

Broker Steven Schwartz in National Securities Corporation Firm Has Customer Complaint

January 28, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven Schwartz (Schwartz), previously associated with National Securities Corporation, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Schwartz 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 $200,000.00 on August 12, 2021.

Attorney for clients claims investment strategy was not suitable.

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

January 27, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kenneth Biebel (Biebel), currently associated with A.g.p. / Alliance Global Partners, has at least one disclosable event. These events include one customer complaint, alleging that Biebel 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 $17,100.19 on August 17, 2021.

Unsuitability

Broker Michael Karp in David Lerner Associates, INC. Firm Has Customer Complaint

January 27, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Karp (Karp), previously associated with David Lerner Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Karp 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 $35,112.00 on August 17, 2021.

Failure to follow instructions

There are Recent Customer Complaints with Broker Jerome Dewane in Firm Edward Jones

January 27, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on August 19, 2021.

Client alleges the financial advisor did not invest $100,000.00 into moderate risk mutual funds as agreed to in March 2020. The client also alleges that an automatic withdrawal of $10,000.00 a month from her savings account was not completed.

There are Recent Customer Complaints with Broker Marty Dennis in Firm LPL Financial LLC

January 27, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Marty Dennis (Dennis), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Dennis 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 16, 2021.

Customer alleges that his representative recommended investments in the Northstar Healthcare Income Fund and FS Energy & Power Fund in the 2014-2016 time period that were unsuitable for the customer’s investment profile and risk tolerance. The customer further asserts that he was misled about the risks and other pertinent details about the nature of the investments.

There are Recent Customer Complaints with Broker William Wright in Firm National Securities Corporation

January 27, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Wright (Wright), previously associated with National Securities Corporation, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Wright recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on August 19, 2021.

Without admitting or denying the findings, Wright consented to the sanction and to the entry of findings that he refused to provide information and documents requested by FINRA in connection with its investigation into the facts surrounding his termination from his member firm. The findings stated that this matter originated from the Uniform Termination Notice for Securities Industry Registration (Form U5) filed by Wright’s firm reporting that he was terminated as a result of him borrowing money from a customer of the firm.

Broker Robert Courser in Kalos Capital, INC. Firm Has Customer Complaint

January 27, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on August 18, 2021.

Unsuitable recommendations