Reg BI

Broker Logan Cox in Cabin Securities, INC. Firm Has Customer Complaint

June 9, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Logan Cox (Cox), currently associated with Cabin Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Cox 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 $205,000.00 on January 09, 2024.

Client alleges registered representative recommended an unsuitable investment.

There are Recent Customer Complaints with Broker Drew Nickle in Firm Truist Investment Services, INC.

June 9, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on January 06, 2024.

Client alleges the representative failed to follow instructions regarding placing an equity trade on November 20, 2023.

There are Recent Customer Complaints with Broker David Dahill in Firm Realized Financial, INC.

June 9, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on January 04, 2024.

Allegations that due diligence information provided to claimants was false, misleading, and failed to fully and properly information the claimants of the risks involved in investing in skyloft dst, and breach of fiduciary duty by withholding information described in the first allegation.

Broker Avi Bialo in Arete Wealth Management, LLC Firm Has Customer Complaint

June 9, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Avi Bialo (Bialo), currently associated with Arete Wealth Management, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bialo 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 January 08, 2024.

Client alleges registered representative recommended an unsuitable investment.

There are Recent Customer Complaints with Broker Timothy Broyles in Firm State Farm Vp Management Corp.

June 9, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a award / judgment customer complaint with a damage request of $28,500.00 on January 07, 2024.

Customer alleged the VA sale was not in his best interest.

Broker Tamara Glenn in LPL Financial LLC Firm Has Customer Complaint

June 9, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Tamara Glenn (Glenn), previously associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Glenn 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 $35,000.00 on January 05, 2024.

Suitability of an alternative investment in HTI is disputed

Broker Ryan Tiedeberg in Raymond James Financial Services, INC. Firm Has Customer Complaint

June 9, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ryan Tiedeberg (Tiedeberg), currently associated with Raymond James Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Tiedeberg 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 January 09, 2024.

Client alleged Registered Representative, along with other members of the client’s investment team, provided poor market and investment advice resulting in losses exceeding $200,000.

Broker Christopher Sivley in Raymond James Financial Services, INC. Firm Has Customer Complaint

June 9, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Sivley (Sivley), currently associated with Raymond James Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Sivley 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 January 09, 2024.

Client alleged Registered Representative provided poor market and investment advice resulting in losses exceeding $200,000.

Broker Javier Reyes Colon in Arkadios Capital Firm Has Customer Complaint

June 9, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Javier Reyes Colon (Reyes Colon), previously associated with Arkadios Capital, has at least one disclosable event. These events include one customer complaint, alleging that Reyes Colon 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 $15,000,000.00 on January 08, 2024.

Client since 2009 alleges unsuitable Insurance Product

Broker Leslie Lauer in RBC Capital Markets, LLC Firm Has Customer Complaint

June 9, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on January 05, 2024.

Time frame: February 2018 – June 2020 Allegations: Claimants allege unsuitability and misrepresentation with respect to recommendations to invest in and hold an options overlay strategy.