Reg BI

Broker Darren Graff in J.P. Morgan Securities LLC Firm Has Customer Complaint

December 7, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on February 24, 2022.

Claimant, a former client and former advisor, alleges unauthorized transactions in one security and commissions owed per agreement. Activity dates 2/16 – 3-21.

Broker David Crossan in LPL Financial LLC Firm Has Customer Complaint

December 7, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Crossan (Crossan), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Crossan 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 February 17, 2022.

Claimant alleges that she was sold a series of annuities, where the income was used to fund a whole life insurance policy and that this investment strategy was clearly entered for purposes of commissions. Claimant also alleges that Wells Fargo’s actions constitute a breach of fiduciary duty, obtaining excessive commissions in an unsuitable whole life insurance recommendation which constitutes gross negligence.

There are Recent Customer Complaints with Broker Bradley Kaiser in Firm Hamilton Grant LLC

December 7, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bradley Kaiser (Kaiser), currently associated with Hamilton Grant LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kaiser 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 $16,440,221.00 on February 16, 2022.

Control Person Liability; Failure to Supervise

Broker Thomas Olander in Dougherty & Company LLC Firm Has Customer Complaint

December 7, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Olander (Olander), previously associated with Dougherty & Company LLC, has at least one disclosable event. These events include one customer complaint, alleging that Olander 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 $225,000.00 on February 21, 2022.

Trustee alleges that the former registered representative made unsuitable investments for the account.

Broker Thomas Renzi in RBC Capital Markets, LLC Firm Has Customer Complaint

December 7, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on February 23, 2022.

Financial Advisor made unsuitable recommendations

Broker Donald Bizub in Hamilton Grant LLC Firm Has Customer Complaint

December 7, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Donald Bizub (Bizub), currently associated with Hamilton Grant LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bizub 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 $16,440,221.00 on February 16, 2022.

Control Person Liability; Failure to Supervise

Broker Kathleen Bradley in Western International Securities, INC. Firm Has Customer Complaint

December 7, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kathleen Bradley (Bradley), previously associated with Western International Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Bradley 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 $16,440,221.00 on February 16, 2022.

Failure to Supervise

There are Recent Customer Complaints with Broker Jeffrey Hollander in Firm Morgan Stanley

December 7, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Hollander (Hollander), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Hollander 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 $2,500,000.00 on February 17, 2022.

Claimant alleges, inter alia, unsuitability with respect to FA’s recommendation to liquidate shares of an equity security – 2020 to 2022

There are Recent Customer Complaints with Broker Ross Wyatt in Firm Arkadios Capital

December 6, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 01, 2022.

The complainant alleges that the tax consequences, associated with the Variable Annuities issued on or around December 16, 2021, were misrepresented.

There are Recent Customer Complaints with Broker Jeffrey Norris in Firm Arkadios Capital

December 6, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 01, 2022.

The complainant alleges that the tax consequences, associated with the Variable Annuities issued on or around December 16, 2021, were misrepresented.