Articles Posted in Reg BI

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

FINRA BrokerCheck shows a pending customer complaint on March 13, 2025.

Customers alleged assets were over concentrated into annuity products.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jordan Weinberg (Weinberg), currently associated with Founders Financial Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Weinberg 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 $54,937.70 on March 12, 2025.

On or about 3/12/25, Clients requested that RR not renew Brighthouse Shield IRA accounts at anniversary. Clients allege that RR should have moved the accounts to cash on the anniversary and prior to transfer out.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ivan Claudio (Claudio), previously associated with Nationwide Planning Associates INC., has at least one disclosable event. These events include one customer complaint, alleging that Claudio 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 $2,000,000.00 on March 17, 2025.

The statement of claim makes allegations regarding unsuitable recommendations with respect to PR Bond Funds.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeff Webb (Webb), currently associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Webb 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 March 18, 2025.

Breach of fiduciary duty; negligence; suitability; misrepresentations and omissions of material fact under Colorado Securities Act; negligent misrepresentation; misrepresentation; omission; 2022

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Paul Getty (Getty), currently associated with Emerson Equity LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Getty 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 $435,068.09 on March 19, 2025.

Breach of fiduciary obligations/duties; breach of contract; negligence/professional negligence; violation of regulation BI; violations of Nevada Securities Act; Violations of Nevada laws protecting older or vulnerable persons from abuse, neglect or exploitation; violations of the Nevada deceptive trade practices act; violations federal rules and regulations; general equitable principals that apply in arbitration. Trades done in 2019,2020 and 2021. Allegations against representative Getty would be for suitability. Getty is not a respondent in this matter.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Oliver Evan (Evan), currently associated with Pnc Investments, has at least one disclosable event. These events include one customer complaint, alleging that Evan 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 $47,458.02 on March 18, 2025.

Client alleges Registered Representative’s recommendation was not in-line with his income objective.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Paul Valdivia (Valdivia), currently associated with Fidelity Brokerage Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Valdivia 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 $95,398.72 on March 17, 2025.

Customer alleges that the managed account was unsuitable for his investment needed.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Rebecca Kilgore (Kilgore), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Kilgore 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 $175,000.00 on March 18, 2025.

Client alleges FA/ex-wife stole $175,000 from him.

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

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

Arbitration: Claimants allege that in 2016, the FA switched their accounts to an unsuitable fee-based account and mislead them regarding the advisory fees associated with the account.\, Complaint: Client claims charging commissions, rather than management fees, would have been more appropriate and therefore seeks reimbursement for the fees. (11/17/2017-10/1/2024)

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Shirley Wong (Wong), currently associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Wong 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 $250,000.00 on March 17, 2025.

Compensatory damages; breach of written contract pursuant to customer agreements; 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 and violation of Best Interest Obligations (Reg BI)

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