Reg BI

Broker Zachary Hansen in UBS Financial Services INC. Firm Has Customer Complaint

January 12, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Zachary Hansen (Hansen), previously associated with UBS Financial Services INC., has at least 3 disclosable events. These events include 2 customer complaints, one regulatory event, alleging that Hansen recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on August 11, 2022.

Without admitting or denying the findings, Hansen consented to the sanctions and to the entry of findings that he caused his member firm to maintain incomplete books and records by communicating with two firm customers about securities-related business through text messages, without the firm’s authorization or approval. The findings stated that Hansen’s text messages included communications related to securities recommendations, account performance and transactions, and market events. Hansen exchanged these text messages, using his personal cell phone, despite lacking authorization and approval to do so. Therefore, the firm did not retain these text messages.

Broker David Melilli in Cambridge Investment Research, INC. Firm Has Customer Complaint

January 12, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Melilli (Melilli), previously associated with Cambridge Investment Research, INC., has at least 5 disclosable events. These events include 2 customer complaints, 3 regulatory events, alleging that Melilli recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on November 28, 2022.

MELILLI IS THE SUBJECT OF AN ORDER OF A SELF-REGULATORY ORGANIZATION EXPELLING HIM FROM A SELF-REGULATORY ORGANIZATION.

There are Recent Customer Complaints with Broker Jeffrey Basford in Firm David Lerner Associates, INC.

January 12, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Basford (Basford), previously associated with David Lerner Associates, INC., has at least 3 disclosable events. These events include 2 customer complaints, one regulatory event, alleging that Basford recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on August 15, 2022.

Without admitting or denying the findings, Basford consented to the sanction and to the entry of findings that he declined to appear for on-the-record testimony requested by FINRA during the course of its investigation into his potential unsuitable sales of proprietary energy products to customers at his member firm.

Broker Kevin Mcneil in Sw Financial Firm Has Customer Complaint

January 12, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Mcneil (Mcneil), previously associated with Sw Financial, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Mcneil recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on August 25, 2022.

Respondent McNeil failed to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA request to provide information concerning the status of compliance.

Broker James Daughtry in Kestra Investment Services, LLC Firm Has Customer Complaint

January 12, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Daughtry (Daughtry), previously associated with Kestra Investment Services, LLC, has at least 7 disclosable events. These events include 5 customer complaints, 2 regulatory events, alleging that Daughtry recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on September 29, 2022.

On 9/28/22 an Order to Bar (OB-2022-0023) was issued against the Respondent by Alabama Securities Commission. OB issued due to Respondent failed to make full & complete disclosure that clients’ accounts were being sold, moved to Graysail & lack of respondent’s involvement with their accounts. For more info contact the Alabama Securities Commission at 334-242-2984

There are Recent Customer Complaints with Broker Conrad Branson in Firm Kingswood Capital Partners, LLC

January 12, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Conrad Branson (Branson), currently associated with Kingswood Capital Partners, LLC, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Branson recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on August 23, 2022.

Without admitting or denying the findings, Branson consented to the sanctions and to the entry of findings that he engaged in unauthorized trading in customer accounts held by the same family. The findings stated that Branson effected unauthorized transactions in the accounts without the family’s prior authorization, knowledge, or consent for the trades. Branson’s member firm has compensated the family $78,919 for losses resulting from the unauthorized transactions. The findings also stated that Branson exercised discretionary authority in some of the family’s accounts without obtaining prior written authorization from the family and without having the accounts accepted as discretionary accounts by the firm. Branson also exercised discretionary authority in two other customers’ accounts without obtaining prior written authorization from the customers and without having the accounts accepted as discretionary accounts by the firm.

Broker Daniel Lauletta in IBN Financial Services, INC. Firm Has Customer Complaint

January 12, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Lauletta (Lauletta), previously associated with IBN Financial Services, INC., has at least 3 disclosable events. These events include 2 customer complaints, one regulatory event, alleging that Lauletta recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on September 01, 2022.

Arkansas Securities Commissioner J. Campbell McLaurin entered consent order number S-20-0046-22-OR02 in the matter of Daniel J. Lauletta (CRD# 2659123) on September 1, 2022, based upon Lauletta’s activity as an investment adviser representative with two Arkansas clients. Lauletta breached his fiduciary duty to two Arkansas clients by advising them to liquidate securities invested for retirement to purchase unsuitable insurance products and annuities. Lauletta did not have reasonable grounds for believing the advice and recommendations at issue were suitable for the Arkansas clients. Lauletta also failed disclose certain risks and information to the Arkansas clients when effecting the above-referenced activity. Lauletta’s activity constituted fraudulent, deceptive, dishonest, or unethical practices of an investment adviser, in violation of the Arkansas Securities Act (‘Act’), Ark. Code. Ann. \\u00a7\\u00a7 23-42-307(a)(3), 23-42-308(a)(2)(B) and (G), and 23-42-507(2), and Rules of the Arkansas Securities Commissioner (‘Rules’) 308.02(a) and 308.02(aa). Without admitting or denying the findings of fact and conclusions of law, Lauletta consented to the following: 1) cease and desist from further violations of the Act and Rules; 2) revocation of his broker-dealer agent registration in Arkansas as of April 12, 2022, the last date on which Lauletta’s registration was effective in Arkansas; 3) not to reapply for registration with the Arkansas Securities Department (‘Department’) in any capacity for a minimum of five years on or after the entry of the consent order; and 4) payment of a fine to the Department in the amount of $10,000.00 immediately upon entry of the consent order.

Broker Paul Vizanko in Wells Fargo Clearing Services, LLC Firm Has Customer Complaint

January 12, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Paul Vizanko (Vizanko), previously associated with Wells Fargo Clearing Services, LLC, has at least 3 disclosable events. These events include one customer complaint, 2 regulatory events, alleging that Vizanko recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on November 11, 2022.

Respondent Vizanko failed to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA request to provide information concerning the status of compliance.

There are Recent Customer Complaints with Broker Christ Baltas in Firm Worden Capital Management LLC

January 12, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christ Baltas (Baltas), previously associated with Worden Capital Management LLC, has at least 6 disclosable events. These events include 3 customer complaints, 3 regulatory events, alleging that Baltas recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on October 07, 2022.

Respondent Baltas failed to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA request to provide information concerning the status of compliance.

There are Recent Customer Complaints with Broker Neil Fineman in Firm First Allied Securities, INC.

January 12, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Neil Fineman (Fineman), previously associated with First Allied Securities, INC., has at least 3 disclosable events. These events include 2 customer complaints, one regulatory event, alleging that Fineman recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on August 18, 2022.

Respondent Fineman failed to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA request to provide information concerning the status of compliance.