Articles Posted in Reg BI

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Kelly (Kelly), currently associated with Vcs Venture Securities, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Kelly 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 $958,000.00 on January 13, 2026.

Unsuitable investments and excessive trading.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Seth Nannini (Nannini), currently associated with Capital Investment Group, INC., has at least one disclosable event. These events include one customer complaint, alleging that Nannini 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 January 22, 2026.

Clients invested in GWG Holdings L-Bonds. GWG Holdings, Inc. filed Chapter 11 bankruptcy on April 20, 2022.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eric Kleiner (Kleiner), previously associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Kleiner 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 $165,000.00 on January 13, 2026.

Claimants allege, inter alia, that FA recommended investment in an outside investment security that was not approved by MS from November 2018 to March 2025.

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

FINRA BrokerCheck shows a pending customer complaint on January 05, 2026.

Negligence

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Rimel (Rimel), currently associated with Raymond James Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Rimel 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 $108,149.15 on January 13, 2026.

Custodian of UTMA accounts for his children alleges (1) FA improperly refused to purchase a low-priced security for the UTMA accounts and (2) FA’s recommendation of a money market fund for those accounts was unsuitable.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Chuck Roberts (Roberts), previously associated with Stifel, Nicolaus & Company, Incorporated, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Roberts 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 January 06, 2026.

Claimants allege breach of fiduciary duty, negligence, fraud, breach of contract, violation of sections 10(b) and 20(a) of the Securities Exchange Act and Rule 10b-5, and violation of the Florida Securities and Investor Protection Act.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Carmen Morrone (Morrone), currently associated with Realta Equities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Morrone 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 $561,303.24 on January 13, 2026.

Claimants allege failure of due diligence and dislcosure.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Shepherd (Shepherd), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Shepherd 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 $1,400,000.00 on January 05, 2026.

Customer alleges the representative did not act in the best interest of the retail customer by recommending an unsuitable securities investment for the customer’s investment objectives between March 2022 through November 2022

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

FINRA BrokerCheck shows a pending customer complaint on January 05, 2026.

Client alleged that he was unaware of an account opened for him and an unauthorized investment change.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Wilmer Cordoba (Cordoba), currently associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Cordoba 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 $74,340.00 on February 18, 2021.

Claimante alleges, inter alia, misrepresentation with repect to selling options in June, 2020.

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