Articles Posted in Reg BI

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

FINRA BrokerCheck shows a pending customer complaint on October 23, 2025.

Client alleges that unauthorized withdrawals were permitted to be made from her account by her husband and that she was not communicated with to confirm the transactions.

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

FINRA BrokerCheck shows a pending customer complaint on October 22, 2025.

The clients allege that the registered representative did not act in their best interest related to the change from a fee-based account to a commission-based account from March 2020 to August 2025.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Chuck Roberts (Roberts), previously associated with Stifel, Nicolaus & Company, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Roberts 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 $100,000.00 on October 20, 2025.

Claimants allege breach of fiduciary duty, negligence, fraud, breach of contract, violation of sections 10(b) and 20(a) of the Securities Exchange Act and Rule 10b-5, and violation of the Florida Securities and Investor Protection Act.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Shumosic (Shumosic), currently associated with Kestra Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Shumosic 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 $17,000.00 on October 22, 2025.

Former client alleges that the representative failed to disclose the surrender charges and additional fees associated with an annuity.

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

FINRA BrokerCheck shows a pending customer complaint on October 22, 2025.

Wrongful conduct; breach of fiduciary duty; breach of written contract; constructive fraud; fraud by misrepresentation and omission; violation of state and federal securities laws; FINRA rules of fair practice and Kansas Law

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gregory Richards (Richards), currently associated with Kingswood Capital Partners, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Richards 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 October 23, 2025.

Claimant alleges that the RR recommended and misrepresented an unsuitable, high-risk investment and breached his fiduciary duty.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Dollar (Dollar), currently associated with Raymond James Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Dollar 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 $34,975.97 on October 28, 2025.

The client alleges the Financial Advisor started investing in brokerage CDD's without her knowledge.

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

FINRA BrokerCheck shows a pending customer complaint on October 28, 2025.

The client alleges that the Variable Universal Life Product he purchased in November 2021 was unsuitable.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Tyler Jones (Jones), previously associated with Thrivent Investment Management INC., has at least one disclosable event. These events include one customer complaint, alleging that Jones 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 $7,342.52 on October 29, 2025.

Customer alleged the Variable Universal Life (VUL) contract issued in August 2022 was not suitable

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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 on October 24, 2025.

Breach of contract and warranties, promissory estoppel; violation of state securities statutes; violation of Consumer Protection Statutes; vicarious liablity; claims under common law; trades placed sometime in 2020

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