Reg BI

There are Recent Customer Complaints with Broker Vincent Annable in Firm Realta Equities, INC.

November 29, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Vincent Annable (Annable), currently associated with Realta Equities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Annable 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 $600,000.00 on April 13, 2022.

Claimants allege: negligence, breach of fiduciary duty, breach of contract, negligent supervision, violation of securities laws, and fraud.

Broker Paul Schappert in Equitable Advisors, LLC Firm Has Customer Complaint

November 28, 2025 | by Staff Attorney

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

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

POA on behalf of the client alleges funds within the client’s investment contract purchased in 2013 and a variable annuity purchased in 2020 were unsuitable for her needs and led to a large tax implication.

Broker Amanda Berry in MML Investors Services, LLC Firm Has Customer Complaint

November 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Amanda Berry (Berry), previously associated with MML Investors Services, LLC, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Berry 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 $99,333.18 on April 28, 2022.

The complainants allege that, beginning in 2019, the representative recommended that they invest in a conservative fund that wouldn’t lose money. At the instruction of the representative, they they wrote checks to Icon Financial to purchase this new investment. Since then, the complainants allege that they haven’t been able to access this money, that they had to take a loan out because of this, and that that the representative has stolen their money.

There are Recent Customer Complaints with Broker Timothy Munley in Firm Peak Brokerage Services, LLC

November 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Timothy Munley (Munley), currently associated with Peak Brokerage Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Munley 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 $500.00 on April 25, 2022.

The Company received a written customer complaint on 4/25/2022. The customer claimed that Mr. Munley met with him and his wife and made the recommendation to replace an existing product with a new product. In part, the customer alleged that he did not sign anything to effectuate this transaction, but the replacement transaction was processed anyway. Based on the allegations, the Company investigated. During the investigation, Mr. Munley admitted to electronically signing the customer’s name to an application he completed and did so without the customer’s authorization and without allowing the customers the opportunity to review the completed application. Mr. Munley’s actions violated Company policy.

There are Recent Customer Complaints with Broker Jeffrey Graff in Firm Nylife Securities LLC

November 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Graff (Graff), currently associated with Nylife 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 April 25, 2022.

Customer’s attorney alleges that his client was misled when he purchased a variable annuity in January 2018. Customer has requested to terminate the annuity without incurring a surrender fee.

There are Recent Customer Complaints with Broker Prasanna Bhatia in Firm Nylife Securities LLC

November 28, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on April 27, 2022.

Customer alleges that in January 2016 and February 2016, she was misled regarding surrender charges when she purchased 2 variable annuities. She also alleges that she incurred a tax liability as a result of the recommendation to make changes to her mutual funds.

Broker Matthew Stahl in Woodbury Financial Services, INC. Firm Has Customer Complaint

November 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Stahl (Stahl), previously associated with Woodbury Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Stahl 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 $90,000.00 on April 25, 2022.

The Claimant alleges, in 2008, her advisors sold her an unsuitable variable universal life insurance policy. She further alleges that her advisors did not properly disclose the cost and fees of the product.

There are Recent Customer Complaints with Broker Jason Kunz in Firm Raymond James Financial Services, INC.

November 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jason Kunz (Kunz), currently associated with Raymond James Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Kunz 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 $200,000.00 on April 22, 2022.

Client alleged unauthorized trading. Allegation Activity Dates: 2/6/2020 – 4/22/2022.

There are Recent Customer Complaints with Broker William Theis in Firm Superior Financial Services, inc.

November 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Theis (Theis), currently associated with Superior Financial Services, inc., has at least one disclosable event. These events include one customer complaint, alleging that Theis 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 $431,011.89 on April 22, 2022.

Financial Advisors providing advice to retail investors are required to adhere to the SEC’s Regulation Best Interest (Reg BI). Reg BI applies a ‘best interest’ standard for broker-dealers and their associated people. This standard applies when a registered representative is providing investment advice through making recommendations customers and covers securities transaction, investment strategies, and recommendations concerning advice on opening of an account or accounts. This standard applies when brokers make recommendations to retail customer for any securities transaction or investment strategy involving securities, including recommendations of types of accounts.

There are Recent Customer Complaints with Broker Arthur Korsun in Firm Northwestern Mutual Investment Services, LLC

November 28, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on April 22, 2022.

Claimant alleges the RR recommended an unsuitable Oil & Gas investment.