Reg BI

There are Recent Customer Complaints with Broker Keith Dagostino in Firm Ef Hutton LLC

May 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Keith Dagostino (Dagostino), previously associated with Ef Hutton LLC, has at least one disclosable event. These events include one customer complaint, alleging that Dagostino 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 March 28, 2025.

Time frame: Unspecified. Claimants allege unsuitable investments.

Broker Edward Fredericks in Equitable Advisors, LLC Firm Has Customer Complaint

May 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Edward Fredericks (Fredericks), currently associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Fredericks 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 $5,000.00 on March 31, 2025.

Clients allege RR Fredericks made unsuitable investment recommendations and executed unauthorized trades in their IRA accounts.

There are Recent Customer Complaints with Broker Joseph Fedorko in Firm Laidlaw & Company (UK) Ltd.

May 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Fedorko (Fedorko), previously associated with Laidlaw & Company (UK) Ltd., has at least one disclosable event. These events include one customer complaint, alleging that Fedorko 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 $500,000.00 on March 31, 2025.

High Concentration and Unsuitable Investments from 2015-2023

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

May 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Frank Ward (Ward), currently associated with Raymond James Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Ward 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 $15,562.50 on March 28, 2025.

The client alleged the financial advisor provided poor advice and inaccurate information that resulted in a tax implication. Allegation Activity Dates: 01/01/2024 – 02/11/2025.

There are Recent Customer Complaints with Broker Alan Harrison in Firm Concorde Investment Services, LLC

May 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alan Harrison (Harrison), currently associated with Concorde Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Harrison 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 28, 2025.

Claim is alleging negligence, breach of fiduciary duty, fraud, misrepresentation, and violation of Alabama Securities Laws, in relation to investment made in October of 2019.

There are Recent Customer Complaints with Broker Daniel Silverberg in Firm UBS Financial Services INC.

May 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Silverberg (Silverberg), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Silverberg 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 $1,127,695.79 on March 28, 2025.

Time frame: 2021-2024 \, \, Allegations: Claimant alleges he should have been advised to satisfy his securities backed loan balance in 2021. He further alleges his securities accounts were invested too aggressively resulting in large losses that impeded his ability to support the loan and continue investing.

There are Recent Customer Complaints with Broker Michael Chauvenet in Firm Centaurus Financial, INC.

May 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Chauvenet (Chauvenet), currently associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Chauvenet 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 $1,500,000.00 on March 27, 2025.

The customer alleges that in 2013 through 2023, the Registered Representative recommended unsuitable, illiquid investments.

There are Recent Customer Complaints with Broker Dean Nowak in Firm Newbridge Securities Corporation

May 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dean Nowak (Nowak), previously associated with Newbridge Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Nowak 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 $50,000.00 on March 28, 2025.

Breach of fiduciary duty, negligence, and negligent supervision.

There are Recent Customer Complaints with Broker Joshua Shipley in Firm Dominari Securities LLC

May 16, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joshua Shipley (Shipley), currently associated with Dominari Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Shipley 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 $1,000,000.01 on April 01, 2025.

Misallocated shares of an IPO.

There are Recent Customer Complaints with Broker Ryan Barnhill in Firm LPL Financial LLC

May 16, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ryan Barnhill (Barnhill), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Barnhill 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 $70,000.00 on April 03, 2025.

Client alleges his former financial advisor made a series of unauthorized transactions selling his equities and treasury securities, and purchasing a new stock without his authorization. Client alleges this caused his portfolio value to significantly decrease.