Articles Posted in Reg BI

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

FINRA BrokerCheck shows a pending customer complaint on November 20, 2025.

Client alleges that unauthorized withdrawals were permitted to be made from her account by her husband and that she was not communicated with to confirm the transactions.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nouachi Vang (Vang), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Vang 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 $135,000.00 on November 24, 2025.

THE CLIENT ALLEGES FRAUDULENT MISAPPROPRIATION OF ASSETS RESULTING IN A FINANCIAL LOSS EXCEEDING $135,000.00

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sam Bhushan (Bhushan), currently associated with Cabin Securities, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Bhushan 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 $2,025,634.00 on November 25, 2025.

The complaint against his member asserted the following causes of action, common law fraud, unsuitable recommendations, and breach of fiduciary duty.

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

FINRA BrokerCheck shows a pending customer complaint on November 24, 2025.

Compensatory damages; breach of written contract; breach of fiduciary duty; negligence and gross negligence; misrepresentations and omissions; violation of FINRA rules; violation of the Arizona Securities Act and federal securities laws, and Violation of Best Interest Obligations. 2022

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Conrad Cook (Cook), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Cook 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 $311,200.00 on November 20, 2025.

Claimants allege that the investments held in decedent’s retirement account were not immediately liquidated upon her death and that the investments declined in value prior to liquidation, resulting in a lesser payout to the beneficiaries.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Chuck Roberts (Roberts), previously associated with Stifel, Nicolaus & Company, Incorporated, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Roberts 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 December 15, 2025.

Claimants allege breach of fiduciary duty, negligence, fraud, breach of contract, violation of sections 10(b) and 20(a) of the Securities Exchange Act and Rule 10b-5, and violation of the Florida Securities and Investor Protection Act.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Nole (Nole), currently associated with Paulson Investment Company LLC, has at least one disclosable event. These events include one customer complaint, alleging that Nole 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 $350,000.00 on December 01, 2025.

Claimant allege that respondent Paulson, acting through Nole, improperly recommended that Claimants invest monies in GWG Holdings, Inc., L Bonds. Purchases were made in 2016, 2018, and 2019.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Jones (Jones), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Jones 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 $34,652.65 on December 08, 2025.

CLIENT ALLEGES THAT HER ACCOUNT WAS NOT MANAGED IN HER BEST INTEREST 2020-2025

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Louis Sachs (Sachs), previously associated with Northwestern Mutual Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Sachs 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 $5,000.00 on December 09, 2021.

The customer is alleging misrepresentation of her investment and insurance portfolio, citing misleading sales practices, failure to create a financial plan in the customer’s best interests and negligence in the management of the customer’s portfolio.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kristian Finfrock (Finfrock), previously associated with Kalos Capital, INC., has at least one disclosable event. These events include one customer complaint, alleging that Finfrock 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 $100,000.00 on December 14, 2021.

Breach of fiduciary duty, breach of contract and negligence, negligent supervision, fraudulent inducement to hold investment, violation of FINRA/NYSE rules, and violation of the securities laws, including the Wisconsin Securities Act

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