Reg BI

There are Recent Customer Complaints with Broker David Segarra in Firm LPL Financial LLC

January 6, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Segarra (Segarra), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Segarra 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 $35,000.00 on October 24, 2025.

The customer alleges that, the Registered Representative recommended an unsuitable, high-risk, illiquid investment. No specific dates for the alleged activity were identified in the Statement of Claim.

Broker Scott Gregory in Benjamin F. Edwards & Company, INC. Firm Has Customer Complaint

January 6, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Scott Gregory (Gregory), previously associated with Benjamin F. Edwards & Company, INC., has at least one disclosable event. These events include one customer complaint, alleging that Gregory 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 $42,000.00 on October 15, 2025.

Clients complained about option trades and mutual fund sale made without their consent.

There are Recent Customer Complaints with Broker Bryce Hamilton in Firm LPL Financial LLC

January 6, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bryce Hamilton (Hamilton), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hamilton 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 $1,000,000.00 on October 21, 2025.

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

Broker Ronald Wingerter in Arkadios Capital Firm Has Customer Complaint

January 6, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ronald Wingerter (Wingerter), previously associated with Arkadios Capital, has at least one disclosable event. These events include one customer complaint, alleging that Wingerter 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 October 28, 2025.

Unsuitable investments, gross negligence, and breach of fiduciary duty.

There are Recent Customer Complaints with Broker Mark Williams in Firm Kingswood Capital Partners, LLC

January 6, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Williams (Williams), previously associated with Kingswood Capital Partners, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Williams 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 $1,000,000.00 on October 21, 2025.

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

There are Recent Customer Complaints with Broker Leroy Born in Firm Wells Fargo Clearing Services, LLC

January 6, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on September 18, 2025.

The client verbally complained that the Financial Advisor did not explain the potential interest rate risk of a long term investment or lack of tax advantage. (8/27/2024 – 6/18/2025)

Broker Lei Wang in Osaic Wealth, INC. Firm Has Customer Complaint

January 6, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lei Wang (Wang), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Wang 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 $5,000.00 on October 28, 2025.

Customer alleges that a VUL purchased in 2023 was misrepresented.

Broker Ting Chen in Landolt Securities, INC. Firm Has Customer Complaint

January 6, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ting Chen (Chen), currently associated with Landolt Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Chen 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 October 27, 2025.

Claimant alleges breach of contract, violation of state securities statutes, negligence, misrepresentation, and breach of fiduciary duty related to a June 2020 GWG L Bond investment.

There are Recent Customer Complaints with Broker Roger Bowlin in Firm Aurora Securities

January 6, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Roger Bowlin (Bowlin), currently associated with Aurora Securities, has at least one disclosable event. These events include one customer complaint, alleging that Bowlin 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 $475,000.00 on October 30, 2025.

Claimant alleges unsuitable investment recommendation.

There are Recent Customer Complaints with Broker Kevin Welp in Firm Vanguard Marketing Corporation

January 6, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on October 30, 2025.

CLIENT ALLEGES THAT THE ADVISOR FAILED TO PERMIT ALLOCATION OF 100% EQUITIES IN THE CLIENT\\u2019S MANAGED ACCOUNT IN MARCH 2024, RESULTING IN A SIGNIFICANT LOSS OF POTENTIAL CAPITAL APPRECIATION.