Articles Posted in Reg BI

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kirk Daniels (Daniels), currently associated with Ausdal Financial Partners, INC., has at least one disclosable event. These events include one customer complaint, alleging that Daniels 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 $7,500.00 on March 18, 2026.

Inaccurate advice related to ROTH contributions over multiple years.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sandy Leff (Leff), currently associated with Carter, Terry & Company, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Leff recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on March 19, 2026.

Suitability, FINRA Rule 2111, Regulation Best Interest\, Client alleges a stock he has owned for over 10 years is not suitable due to the recent decline in the security.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dean Mcdermott (Mcdermott), currently associated with Mcdermott Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mcdermott 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 $227,000.00 on March 19, 2026.

Claimants, experienced real estate investors, purchased a Delaware Statutory Trust in August 2022, as part of a tax advantaged 1031 exchanges of their prior real estate investments. Due to circumstances well beyond broker-dealer’s control, the DST is not performing to Claimants’ expectations. Accordingly, Claimant has made various allegations and legal claims related to suitability and due diligence with respect to the DST. Allegations also include breach of fiduciary duty, negligence, misrepresentations and omissions, failure to supervise and breach of contract.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Timothy Fitzgerald (Fitzgerald), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Fitzgerald 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 $14,000.00 on March 17, 2026.

Customer alleges Rep failed to inform her that rebalancing her portfolio would result in significant tax consequences.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Roger Roemmich (Roemmich), previously associated with Alexander Capital, L.p., has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Roemmich 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 $1,735,000.00 on March 18, 2026.

Allegations include Breach of Fiduciary Duty; Aiding and Abetting; Negligent Misrepresentation; Failure to Supervise; Violation of Georgia Statutes. \, Date of activities 2022 – 2023.\,

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Willis (Willis), currently associated with PFS Investments INC., has at least one disclosable event. These events include one customer complaint, alleging that Willis 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 $8,000.00 on March 18, 2026.

Customer alleges a request to move funds into money market was not timely submitted, resulting in decreased account value due to market fluctuation.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Anne Davidson (Davidson), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Davidson 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, 2026.

The client claims their Financial Advisor did not disclose that failure to meet the capital call requirements could put the client's invested principal at risk. The client demands a full return of their principal investment. (8/23/2024-11/14/2025)

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Taylor Armstrong (Armstrong), currently associated with Aurora Securities, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Armstrong 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 March 23, 2026.

Customer alleges unsuitable investment recommendation in a real estate security.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Justin Pierce (Pierce), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Pierce recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on March 24, 2026.

Client alleges misrepresentation related to a managed account.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ronald Lentz (Lentz), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Lentz 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 $20,000.00 on March 20, 2026.

Client alleges assets in IRA accounts were supposed to be moved into fixed income.

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