Reg BI

There are Recent Customer Complaints with Broker Roberto Pineda Castellvi in Firm Stonecrest Capital Markets, INC.

May 8, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on April 24, 2024.

Time frame: Unspecified Allegations: Claimant alleges that the recommendation to invest in and hold Puerto Rico closed-end funds was unsuitable and that his UBS account was over-concentrated in these investments. He also alleges that the risks of investing in and concentrating in PR investments were misrepresented.

There are Recent Customer Complaints with Broker Carlos Rodriguez De Gracia in Firm Stonecrest Capital Markets, INC.

May 8, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on April 24, 2024.

Time frame: Unspecified Allegations: Claimant alleges that the recommendation to invest in and hold Puerto Rico closed-end funds was unsuitable and that his UBS account was over-concentrated in these investments. He also alleges that the risks of investing in and concentrating in PR investments were misrepresented.

Broker Jose Zorrilla in Kovack Securities INC. Firm Has Customer Complaint

May 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jose Zorrilla (Zorrilla), previously associated with Kovack Securities INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Zorrilla recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on April 24, 2024.

Time frame: Unspecified.\, Allegations: Claimant alleges that the recommendation to invest in and hold Puerto Rico closed-end funds was unsuitable and that his UBS account was over-concentrated in these investments. He also alleges that the risks of investing in and concentrating in PR investments were misrepresented.

There are Recent Customer Complaints with Broker Harrison Chang in Firm Innovation Partners LLC

May 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Harrison Chang (Chang), currently associated with Innovation Partners LLC, has at least one disclosable event. These events include one customer complaint, alleging that Chang 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 $550,000.00 on April 29, 2024.

Customer alleges that investment recommendation was unsuitable and misleading. Date of activity from June 2018 to April 2020.

There are Recent Customer Complaints with Broker Andrew Goldberg in Firm Centaurus Financial, INC.

May 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andrew Goldberg (Goldberg), previously associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Goldberg 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 $5,000.00 on April 26, 2024.

Client alleges forgery of her signature on fixed index annuity application.

Broker Stephen Berrocal in Truist Investment Services, INC. Firm Has Customer Complaint

May 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stephen Berrocal (Berrocal), currently associated with Truist Investment Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Berrocal 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 April 29, 2024.

Clients allege unsuitable recommendations and misrepresentations regarding investments in Northstar fixed annuities in May 2014.

Broker Andrew Egber in Steward Partners Investment Solutions, LLC Firm Has Customer Complaint

May 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andrew Egber (Egber), previously associated with Steward Partners Investment Solutions, LLC, has at least 3 disclosable events. These events include 2 customer complaints, one regulatory event, alleging that Egber recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on April 26, 2024.

Without admitting or denying the findings, Egber consented to the sanction and to the entry of findings that he refused to produce information and documents requested by FINRA in connection with its investigation of allegations made on an amended Form U5 filed by his member firm. The findings stated that the firm was reviewing allegations of possible theft of client funds by Egber. The findings also stated that Egber refused to appear for on-the-record testimony requested by FINRA.

Broker John Prokos in LPL Financial LLC Firm Has Customer Complaint

May 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Prokos (Prokos), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Prokos 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 $52,000.00 on April 29, 2024.

Customers allege that investments made in 2014 were unsuitable for the customers’ investment objectives and risk tolerance.

There are Recent Customer Complaints with Broker Daniel Roebuck in Firm Patrick Capital Markets, LLC

May 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Roebuck (Roebuck), previously associated with Patrick Capital Markets, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Roebuck 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 $1,800,000.00 on April 25, 2024.

Failed to conduct reasonable due diligence, misrepresentations, and disclose material facts.

There are Recent Customer Complaints with Broker Dario Suarez in Firm UBS Financial Services INC.

May 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dario Suarez (Suarez), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Suarez 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 April 24, 2024.

Time frame: Unspecified\, Allegations: Claimant alleges that the recommendation to invest in and hold Puerto Rico closed-end funds and bonds was unsuitable and that his UBS account was over-concentrated in these investments. He also alleges that the risks of investing in and concentrating in PR investments were misrepresented.