Reg BI

There are Recent Customer Complaints with Broker Peter Radvanyi in Firm Newbridge Securities Corporation

October 1, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Peter Radvanyi (Radvanyi), previously associated with Newbridge Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Radvanyi 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 $180,000.00 on November 30, 2022.

Breach of Fiduciary Duty, Breach of Contract, Suitability , failure to Supervise, Violation of the Federal Securities Law, Violation of FINRA Rules 2210,IM 2310-20and 2020.

There are Recent Customer Complaints with Broker Ronald Mcleod in Firm Moloney Securities Co., INC.

October 1, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ronald Mcleod (Mcleod), previously associated with Moloney Securities Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Mcleod 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 28, 2022.

Negligence; breach of fiduciary duty; negligent supervision

Broker Steven Boblis in Fsc Securities Corporation Firm Has Customer Complaint

October 1, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven Boblis (Boblis), previously associated with Fsc Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Boblis 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 $10,000.00 on November 30, 2022.

Client alleges that advisor did not invest his funds in a timely manner and he was charged advisory fees while sitting in cash when he thought the advisor would invest his funds.

There are Recent Customer Complaints with Broker Saul Rothberger in Firm Avantax Investment Services, INC.

October 1, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Saul Rothberger (Rothberger), currently associated with Avantax Investment Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Rothberger 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 $4,000,000.00 on November 30, 2022.

Client alleged the representative utilized an unsuitable investment strategy.

Broker Donald Rhodes in American Equity Investment Corporation Firm Has Customer Complaint

October 1, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Donald Rhodes (Rhodes), previously associated with American Equity Investment Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Rhodes 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 $120,000.00 on November 30, 2022.

Claimant purchased a $120,000 bond with GWG Holdings Inc. in April, 2021. In April 2022, GWG Filed for Chapter 11 bankruptcy reorganization, which is still pending. Claimant alleges the bond was unsuitable and the respondent did not sufficiently convey the risks involved.

There are Recent Customer Complaints with Broker Margarita Flores in Firm Nylife Securities LLC

October 1, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Margarita Flores (Flores), currently associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Flores 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 28, 2022.

Customer alleges that he was not informed of fees, taxes and charges related to his additional investment into an existing variable universal insurance policy in November 2022. Customer has requested the cancellation of the additional investment and the return of his funds without penalty or fees.

Broker Edward Balmes in Moloney Securities Co., INC. Firm Has Customer Complaint

October 1, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Edward Balmes (Balmes), currently associated with Moloney Securities Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Balmes 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 $99,000.00 on November 28, 2022.

Suitability/negligence

Broker Eric Tom in MML Investors Services, LLC Firm Has Customer Complaint

October 1, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on November 28, 2022.

The complainant alleges that his Jackson National Individual Deferred Variable and Fixed Annuity contracts, that were purchased in January 2006, were mismanaged by his registered representative, which resulted in a loss of his retirement savings, and the registered representative breached his fiduciary duty, and contract, and made misrepresentations.

There are Recent Customer Complaints with Broker David Dalton in Firm LPL Financial LLC

October 1, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on November 28, 2022.

Customer alleged failure to follow instructions in advisory account. (3/18/20-1/11/21)

Broker Phil Wheat in Ameriprise Financial Services, LLC Firm Has Customer Complaint

October 1, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Phil Wheat (Wheat), previously associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Wheat 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 $14,391.00 on November 29, 2022.

Poor advice and financial planning.