Reg BI

There are Recent Customer Complaints with Broker Douglas Cash in Firm LPL Financial LLC

January 17, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Douglas Cash (Cash), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Cash 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 November 22, 2021.

Customer alleges that between November 2014 and November 2021, representative recommended an investment in the Northstar Healthcare Income Fund that were unsuitable for the customer’s investment profile and risk tolerance.

There are Recent Customer Complaints with Broker Charles Dixon in Firm Sagepoint Financial, INC.

January 17, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Charles Dixon (Dixon), previously associated with Sagepoint Financial, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Dixon 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 $99,999.00 on November 18, 2021.

Claimant’s allegations include but are not limited to breach of fiduciary duty and negligence with regard to the sale of alternative investments.

Broker Jack Jones in Osaic Wealth, INC. Firm Has Customer Complaint

January 17, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jack Jones (Jones), currently associated with Osaic Wealth, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Jones 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 November 22, 2021.

CLAIMANTS ALLEGE THAT A RECOMMENDATION OF A PRIVATE PLACEMENT INVESTMENT DID NOT MEET THEIR NEEDS AND OBJECTIVES, WAS NOT ADEQUATELY DISCLOSED, AND THAT THE FIRM DID NOT CONDUCT ADEQUATE DUE DILIGENCE ON THE OFFERING.

There are Recent Customer Complaints with Broker Michael Mawby in Firm International Assets Advisory, LLC

January 17, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Mawby (Mawby), previously associated with International Assets Advisory, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mawby 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 $545,000.00 on November 18, 2021.

Plaintiff alleges that money was withdrawn from the trust without consent of the trustees. Civil suit alleges breach of fiduciary duty, theft, fraud, receiving stolen property, and negligence. July 2020.

There are Recent Customer Complaints with Broker Michael Maloney in Firm First Allied Securities, INC.

January 17, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Maloney (Maloney), previously associated with First Allied Securities, INC., has at least 4 disclosable events. These events include 4 customer complaints, alleging that Maloney 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 November 22, 2021.

Claimants allege their financial adviser recommended investments that were unsuitable for them. Claimant generally alleges suitability, overconcentration, fiduciary duty, and failure to supervise.

There are Recent Customer Complaints with Broker Anthony Brookfield in Firm Merrill Lynch, Pierce, Fenner & Smith Incorporated

January 17, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Anthony Brookfield (Brookfield), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Brookfield 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 $7,000,000.00 on November 15, 2021.

January 2016 to Mid-2019\, \, Claimants’ counsel alleges unsuitability and misrepresentation with respect to recommendations to invest in and hold an options overlay strategy.

There are Recent Customer Complaints with Broker David Adams in Firm Ameriprise Financial Services, LLC

January 17, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Adams (Adams), currently associated with Ameriprise Financial Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Adams 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 $250,000.00 on November 19, 2021.

Claimant alleges that the financial professional recommended an investment that was unsuitable.

Broker Laurel Simon Bobrowich in UBS Financial Services INC. Firm Has Customer Complaint

January 17, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on November 15, 2021.

The client alleges her FA did not inform her that the recommendation to convert her IRA’S to Roth IRA’s would be a taxable event. The alleged damages were estimated to be in excess of $5,000.00

There are Recent Customer Complaints with Broker James Simpson in Firm Equitable Advisors, LLC

January 17, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Simpson (Simpson), previously associated with Equitable Advisors, LLC, has at least 3 disclosable events. These events include 2 customer complaints, one regulatory event, alleging that Simpson recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

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

Without admitting or denying the findings, Simpson consented to the sanction and to the entry of findings that he refused to provide information and documents requested by FINRA in connection with an investigation into whether he misappropriated client funds or made unsuitable recommendations.

Broker Richard Gentile in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

January 16, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Gentile (Gentile), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Gentile recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on December 05, 2021.

Client alleges FA misrepresented tax consequences of exchanging mutual funds within the same fund family resulting in taxes owed and causing the client to miss out on tuition assistance.