Articles Posted in Reg BI

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Rita Mansour (Mansour), currently associated with Mcdonald Partners LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mansour 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 $345,000.00 on May 14, 2025.

Client alleges that RR recommended unsuitable investments, made misrepresentations, and did not accurately disclose all material facts, in connection with the Claimant’s 2013 investment in a private offering of securities and 2020 investment in a high-yield debt instrument.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lily Li (Li), currently associated with Tigress Financial Partners, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Li 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 April 17, 2025.

Client alleges investment is not suitable despite the Firm not soliciting this investment. Client invested from 7/2019 to 10/2019 from which she received many interest payments and benefits.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gregory Richards (Richards), currently associated with Kingswood Capital Partners, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Richards 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 $300,000.00 on April 03, 2025.

The customers allege that the Registered Representative recommended and misrepresented an unsuitable, high-risk and illiquid investment and breached his fiduciary duty.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Larry Tolbert (Tolbert), currently associated with Lion Street Financial, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Tolbert 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 March 27, 2025.

Larry J. Tolbert was named in a customer complaint that asserted the following causes of action:negligence, professional negligence, violations of law, unsuitable recommendations, negligent supervision, breach of contract, breach of fiduciary duty, and breach of securities industry rules and regulations, including but not limited to Reg BI.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Lott (Lott), currently associated with Cambridge Investment Research, INC., has at least one disclosable event. These events include one customer complaint, alleging that Lott 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 $45,000.00 on April 15, 2025.

Client alleges RR misrepresented the benefits, terms and conditions of the annuity.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ryan Turner (Turner), currently associated with LPL Enterprise, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Turner 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 $109,290.47 on July 08, 2025.

Customers allege they suffered losses as a result of unauthorized trading that occurred in January 2025, related to a variable annuity that was purchased in 1986.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Otto Bohon (Bohon), previously associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Bohon 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 $350,000.00 on June 16, 2025.

The customers allege that the Registered Representative recommended unsuitable, complex, high-risk, illiquid investments. No specific dates for the alleged activity were identified in the Statement of Claim.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sean Mccabe (Mccabe), currently associated with Network 1 Financial Securities INC., has at least one disclosable event. These events include one customer complaint, alleging that Mccabe 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 $162,000.00 on July 11, 2025.

Misrepresentation, omission of facts, negligence

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Hubert Depalma (Hubert Depalma), currently associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Hubert Depalma 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 $124,000.00 on July 15, 2025.

The customers allege that, the Registered Representative recommended and misrepresented unsuitable, high-risk, illiquid investments. No specific dates for the alleged activity were identified in the Statement of Claim.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kenneth Mccabe (Mccabe), currently associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Mccabe 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 $45,000.00 on July 07, 2025.

The customer alleges that in March 2015, the Registered Representative recommended unsuitable, high-risk, illiquid investments.

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