Reg BI

There are Recent Customer Complaints with Broker Manolo Baca in Firm J.P. Morgan Securities LLC

January 5, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on November 02, 2025.

Customer alleges registered representative did not follow trade instructions. Activity dates August 21, 2024 to September 30,2025.

Broker Patrick Durst in Lifemark Securities Corp. Firm Has Customer Complaint

January 5, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Patrick Durst (Durst), currently associated with Lifemark Securities Corp., has at least one disclosable event. These events include one customer complaint, alleging that Durst 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 $100,000.00 on November 03, 2025.

Allegations pertain to investment in an alternative product intended to be a small component of a larger diversified portfolio and annuity purchases. Investments were purchased from 05/2020 to 06/2021. Allegations include: unsuitable recommendation, violation of Regulation Best Interest, and breach of fiduciary duty. Client is seeking between $100,000 and $500,000 and costs and fees.

Broker Travis Lippmann in Spartan Capital Securities, LLC Firm Has Customer Complaint

January 5, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on November 03, 2025.

These alleigation are for all three claiants, indivdual is broker of record for one claimant only. Breach of fidciary duty, Negligence, excesive trading, faiure to supervise

Broker Rebekah Bodkin in Edward Jones Firm Has Customer Complaint

January 5, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on November 06, 2025.

Client alleges the sells of AVDV, IVV, IJR, IWB, VEA, VUG, VTV and BRHYX on October 7, 2025 were unauthorized.

Broker Adam Chustz in Stifel, Nicolaus & Company, Incorporated Firm Has Customer Complaint

January 5, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Adam Chustz (Chustz), currently associated with Stifel, Nicolaus & Company, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Chustz 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 $100,000.00 on October 31, 2025.

Breach of Contract and Warranties, Promissory Estoppel; Consumer Protection and Deceptive Trade Practices Act; Violation of State Securities Statutes; Common Law Fraud; Breach of Fiduciary Duty; Negligence and Gross Negligence; Misrepresentation/Omission and Neglect Misrepresentation/Omission; Unjust Enrichment; Failure to Supervise; Common Law, Statutory Claims and Damages; Vicarious & Control Person Liability;

Broker Raymond De Witt in Realta Equities, INC. Firm Has Customer Complaint

January 5, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on November 04, 2025.

Failure to conduct reasonable due diligence, violations of federal securities law, violation of Utah Securities Act, violation of California Securities Act, breach of contract, breach of fiduciary duty, and negligence.

There are Recent Customer Complaints with Broker Leslie Little in Firm J.P. Morgan Securities LLC

January 5, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Leslie Little (Little), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Little 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 $100,000.00 on November 03, 2025.

Customer alleges misrepresentation regarding variable annuity. Activity dates 9/13/10.

Broker Michael Lipschutz in UBS Financial Services INC. Firm Has Customer Complaint

January 5, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Lipschutz (Lipschutz), previously associated with UBS Financial Services INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Lipschutz 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 $319,000.00 on November 05, 2025.

Time frame: 2024\, Claimant\\u2019s counsel alleges that former UBS advisor Mr. Lipschutz improperly invested all of their assets on a highly speculative trading platform that was not authorized by UBS, which resulted in heavy losses. \,

Broker Michael Lapushner in Aegis Capital Corp. Firm Has Customer Complaint

January 5, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on November 05, 2025.

Claimant alleges unsuitable investments, breach of fiduciary duty, breach of contract, misrepresentation and omission, overconcentration

There are Recent Customer Complaints with Broker John Hardiman in Firm Janney Montgomery Scott LLC

January 5, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Hardiman (Hardiman), currently associated with Janney Montgomery Scott LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hardiman 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 November 05, 2025.

Client alleges that Advisor misrepresented the characteristics of investments that he recommended for the client’s accounts between December 2024 and June 2025.