Reg BI

Broker Shay Scruggs in Rockefeller Financial LLC Firm Has Customer Complaint

June 13, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on December 19, 2023.

Client alleges poor performance of accounts.

Broker Anthony Jovanovich in LPL Financial LLC Firm Has Customer Complaint

June 13, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Anthony Jovanovich (Jovanovich), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Jovanovich 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 $9,107.16 on December 18, 2023.

[REDACTED], on behalf of her mother, alleges Mr. Jovanovich and his colleague misrepresented the REIT investment recommended stating that clients could earn 7% monthly dividend with no downside. It was further alleged that the investments in Guggenheim UITs were not suitable with the clients conservative objective, that these investments were very risky, not diversified, and resulted in large losses.

Broker Brett Ewing in Centaurus Financial, INC. Firm Has Customer Complaint

June 13, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on December 19, 2023.

The customer alleges that the Registered Representative recommended an unsuitable investment and investment strategies in an illiquid alternative investment. No specific dates for the alleged activity were identified in the Statement of Claim.

There are Recent Customer Complaints with Broker Richard Poston in Firm H. Beck, INC.

June 13, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Poston (Poston), previously associated with H. Beck, INC., has at least one disclosable event. These events include one customer complaint, alleging that Poston 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 $300,000.00 on December 19, 2023.

The Statement of Claim was filed on behalf of nine claimants against Grove Point Investments, LLC involving the same investment – NorthStar Healthcare Income REIT. Claimants allege unsuitability, overconcentration, breach of fiduciary duty and negligence. Activity occurred March 24, 2014 to February 12, 2016.

There are Recent Customer Complaints with Broker Richard Belline in Firm Equitable Advisors, LLC

June 13, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Belline (Belline), previously associated with Equitable Advisors, LLC, has at least 4 disclosable events. These events include 4 customer complaints, alleging that Belline 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 $86,639.51 on December 18, 2023.

Clients alleged they were overcharged advisory fees by their RR.

Broker Thomas Paine in Centaurus Financial, INC. Firm Has Customer Complaint

June 13, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on December 19, 2023.

The customer alleges that the Registered Representative recommended unsuitable investments and investment strategies in various illiquid alternative investments. No specific dates for the alleged activity were identified in the Statement of Claim.

There are Recent Customer Complaints with Broker Michael Sloan in Firm LPL Financial LLC

June 13, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Sloan (Sloan), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Sloan 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 $9,107.16 on December 18, 2023.

[REDACTED], on behalf of her mother, alleges Mr. Sloan and his colleague misrepresented the REIT investment recommended stating that clients could earn 7% monthly dividend with no downside. It was further alleged that the investments in Guggenheim UITs were not suitable with the clients conservative objective, that these investments were very risky, not diversified, and resulted in large losses.

Broker Robert Krakower in LPL Financial LLC Firm Has Customer Complaint

June 13, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on December 19, 2023.

The customer alleges that the Registered Representative recommended an unsuitable investment and investment strategies in an illiquid alternative investment. No specific dates for the alleged activity were identified in the Statement of Claim.

Broker Rick Larson in H. Beck, INC. Firm Has Customer Complaint

June 13, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Rick Larson (Larson), previously associated with H. Beck, INC., has at least one disclosable event. These events include one customer complaint, alleging that Larson 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 $300,000.00 on December 19, 2023.

The Statement of Claim was filed on behalf of nine claimants against Grove Point Investments, LLC involving the same investment – NorthStar Healthcare Income REIT. Claimants allege unsuitability, overconcentration, breach of fiduciary duty and negligence. Activity occurred March 24, 2014 to February 12, 2016.

There are Recent Customer Complaints with Broker Steve Orr in Firm LPL Financial LLC

June 13, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steve Orr (Orr), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Orr 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 $300,000.00 on December 19, 2023.

The Statement of Claim was filed on behalf of nine claimants against Grove Point Investments, LLC involving the same investment – NorthStar Healthcare Income REIT. Claimants allege unsuitability, overconcentration, breach of fiduciary duty and negligence. Activity occurred March 24, 2014 to February 12, 2016.