Reg BI

Broker Nitin Bahirwani in B. Riley Wealth Management Firm Has Customer Complaint

October 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nitin Bahirwani (Bahirwani), currently associated with B. Riley Wealth Management, has at least one disclosable event. These events include one customer complaint, alleging that Bahirwani 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 $900,000.00 on November 07, 2022.

Breach of fiduciary duty, breach of contract

Broker Jason Rudolph in Stifel, Nicolaus & Company, Incorporated Firm Has Customer Complaint

October 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jason Rudolph (Rudolph), currently associated with Stifel, Nicolaus & Company, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Rudolph 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 $20,292.00 on November 10, 2022.

Failure to follow instructions.

There are Recent Customer Complaints with Broker John Dixon in Firm Independent Financial Group, LLC

October 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Dixon (Dixon), currently associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Dixon 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 $250,000.00 on November 08, 2022.

Misrepresentation and Suitability. 3/21/2008 thru 9/27/2021

There are Recent Customer Complaints with Broker Brian Titus in Firm Ameriprise Financial Services, LLC

October 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Titus (Titus), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Titus 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 November 08, 2022.

Claimant was a McDonald’s employee who left the company in November 2020 and claims that, upon his departure, he was entitled to exercise vested stock options. Claimant alleges that defendants had a responsibility to notify him that his stock options had expired. Claimant alleges that Ameriprise breached its fiduciary duty by failing to search for information to inform him of the expiration date of his McDonalds stock options.

Broker Pedro Escobar in Ameriprise Financial Services, LLC Firm Has Customer Complaint

October 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Pedro Escobar (Escobar), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Escobar 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 $500,000.00 on November 11, 2022.

Client alleges unsuitable recommendations.

There are Recent Customer Complaints with Broker Lawrence Delhagen in Firm Stifel, Nicolaus & Company, Incorporated

October 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lawrence Delhagen (Delhagen), previously associated with Stifel, Nicolaus & Company, Incorporated, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Delhagen 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 $400,000.00 on November 08, 2022.

Claimants allege breach of fiduciary duty, breach of contract, negligence/negligent misrepresentation/omission, common law fraud, and restitution.

There are Recent Customer Complaints with Broker Joseph Nelson in Firm G. A. Repple & Company

October 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Nelson (Nelson), previously associated with G. A. Repple & Company, has at least one disclosable event. These events include one customer complaint, alleging that Nelson 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 $25,000.00 on November 11, 2022.

Claimant alleges unsuitable recommendation and failure to disclose material change in business model

Broker Larry Stringer in Capital Investment Group, INC. Firm Has Customer Complaint

October 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Larry Stringer (Stringer), previously associated with Capital Investment Group, INC., has at least one disclosable event. These events include one customer complaint, alleging that Stringer 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 $50,000.00 on November 07, 2022.

Product was unsuitable in nature.

Broker Andrew Wilson in First Allied Securities, INC. Firm Has Customer Complaint

October 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andrew Wilson (Wilson), previously associated with First Allied Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Wilson 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 November 08, 2022.

Claimant alleges his financial advisor recommended unsuitable investments.

Broker William Greenman in Equitable Advisors, LLC Firm Has Customer Complaint

October 3, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on November 14, 2022.

Client alleges RR made unsuitable and unauthorized trades in her father’s brokerage account.