Articles Posted in Reg BI

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Drew Adler (Adler), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Adler 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 $5,000.00 on October 09, 2025.

Client alleges that the financial professional did not properly invest assets in his account from 2022 – 2025.

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

FINRA BrokerCheck shows a pending customer complaint on October 15, 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 James Pecoraro (Pecoraro), currently associated with Spartan Capital Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Pecoraro 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 $500,000.00 on October 13, 2025.

Alleged alligation of failure to supervisior, commission gebrated tragding. Time Frame: Janaury 2021 to present.

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

FINRA BrokerCheck shows a pending customer complaint on October 15, 2025.

The client alleges concerns regarding the overconcentration and suitability of trades in the accounts, as well as unauthorized trading.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Jarvis (Jarvis), currently associated with Cetera Wealth Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Jarvis 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 $800,000.00 on October 17, 2025.

Claimant alleges excessive advisory fees

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

FINRA BrokerCheck shows a pending customer complaint on October 15, 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 Michael Ecker (Ecker), previously associated with Center Street Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Ecker recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on October 15, 2025.

Claimants initiated an arbitration concerning issues related to the sale of REIT and LP investments, which had previously been dismissed in an earlier arbitration in 2023.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven Bowers (Bowers), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bowers 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 $5,910.00 on October 22, 2025.

The Claimant alleges that in May 2024, an order was not timely executed.

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

FINRA BrokerCheck shows a pending customer complaint on October 21, 2025.

From investment activity in September 2021, claimant alleges fraud, lack of suitability, misrepresentations/omissions, negligence, breach of fiduciary duty, and breach of contract

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

FINRA BrokerCheck shows a pending customer complaint on October 23, 2025.

Breach of contract and warranties, promissory estoppel; violation of Consumer Protection and Deceptive Trade Practices Act; Violation of Securities Statutes; Breach of Fiduciary Duty; Claims under Common Law; Vicarious Liability; Violation of Regulation Best Interest

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