Articles Posted in Reg BI

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Levinson (Levinson), currently associated with American Trust Investment Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Levinson 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 $400,000.00 on November 13, 2025.

Customer alleges that between 2019 and 2025, the representative recommended unsuitable alternative investments, including three Delaware Statutory Trusts and MacKenzie Realty Capital, and made misrepresentations regarding risk, performance, and income expectations. The Statement of Claim asserts negligence, breach of fiduciary duty, and negligent supervision, alleging losses of approximately $400,000 plus additional damages.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Moore (Moore), currently associated with Truist Investment Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Moore 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 $15,000.00 on November 18, 2025.

The client alleges the FA liquidated assets held in his Roth IRA account without his authorization. The client states the proceeds from the liquidation were transferred to his joint registration account. The proceeds were utilized to pay a premium for a Protective Strategic Objectives VUL policy in October 2024 and the client alleges he had instructed the FA to cancel the policy.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alexandre Maltez (Maltez), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Maltez 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 $651,709.00 on November 20, 2025.

BREACH OF CONTRACT, BREACH OF FIDUCIARY DUTY, FAILURE TO SUPERVISE, NEGLIGENCE,MISREPRESENTATION, VIOLATION OF FEDERAL SECURITIES LAWS, AND\, VIOLATION OF REG BI.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Trawnegan Gall (Gall), currently associated with Wealthforge Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Gall 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 $756,377.00 on November 18, 2025.

From investment activity in September and October 2022, claimant alleges fraud, misrepresentation, omission of facts, unsuitable recommendations, breach of contract, breach of fiduciary duty, and negligence.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Goutam Datta (Datta), currently associated with Wells Fargo Advisors Financial Network, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Datta 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 $258,993.00 on November 17, 2025.

Claimant asserts various causes of action including breach of fiduciary duty, negligence, negligent supervision, fraud, and breach of contract related to alleged unauthorized trading in her account.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Shmuel Maya (Maya), previously associated with Insigneo Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Maya 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 $200,000.00 on November 19, 2025.

Client, through counsel, alleges unsuitable investment recommendations in Managed Account. Activity dates December 6, 2017 to December 6, 2017.

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

FINRA BrokerCheck shows a pending customer complaint on November 18, 2025.

Suitability; Misleading Recommendations; Violation of Reg BI; Misrepresentation and Omissions.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven Rini (Rini), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Rini 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 $234,600.00 on November 19, 2025.

CLIENT ALLEGED, INTER ALIA, THAT THE INVESTMENT IN AN EXCHANGE FUND WAS MISREPRESENTED 2024

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gregory Berg (Berg), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Berg 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 $200,000.00 on November 18, 2025.

Customer alleges misrepresentations and unauthorized annuitization of variable annuity

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

FINRA BrokerCheck shows a pending customer complaint on November 18, 2025.

Breach of written contract; breach of fiduciary duty; negligence and gross negligence; misrepresentations and omissions; violation of FINRA rules; violation of federal securities laws; violation of the California Securities Act; violation of Best Interest Obligation

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