Reg BI

There are Recent Customer Complaints with Broker Robert Baptist in Firm LPL Financial LLC

November 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Baptist (Baptist), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Baptist 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 $15,320.04 on June 03, 2022.

CLIENT PURCHASED ADDITIONAL SHARES OF AN EXISTING MUTUAL FUND POSITION IN THE AMOUNT OF $100,000 ON JANUARY 19, 2022. CLIENT SENT A WRITTEN COMPLAINT THREE AND A HALF MONTHS LATER ON JUNE 3, 2022 REGARDING HIS PEOPLE’S SECURITIES REGISTERED REPRESENTATIVE ROBERT BAPTIST, IN WHICH HE CLAIMED THAT THE REFERENCED TRADE WAS UNSUITABLE AND PLACED BY MR. BAPTIST WITHOUT AUTHORIZATION, WITHOUT PROVIDING A PROSPECTUS AND WITHOUT DESCRIBING THE RISKS OF INVESTMENT.

Broker Charles Jimerson in Sunbelt Securities, INC. Firm Has Customer Complaint

November 17, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on June 03, 2022.

Client alleges common law negligence, breach of fiduciary duty, suitability, and know your customer violations.

There are Recent Customer Complaints with Broker Polly Stoecklein in Firm Vanderbilt Securities, LLC

November 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Polly Stoecklein (Stoecklein), previously associated with Vanderbilt Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Stoecklein 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 $80,000.00 on May 31, 2022.

CUSTOMER ALLEGES THAT INVESTMENTS MADE IN HIS ADVISORY ACCOUNT WERE UNSUITABLE, AND SEEKS RECOVERY OF LOSSES. ACITIVY PERIOD – 11/2/21 TO 4/14/22.

Broker David Porter in LPL Financial LLC Firm Has Customer Complaint

November 17, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on June 06, 2022.

Customer alleged breach of fiduciary duty with respect to equity transactions. (7/3/18-3/1/22)

There are Recent Customer Complaints with Broker Jonathan Ebel in Firm Network 1 Financial Securities INC.

November 16, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jonathan Ebel (Ebel), currently associated with Network 1 Financial Securities INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Ebel 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 June 09, 2022.

Client alleges unsuitability from 2016-1028.

Broker Justin Myers in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

November 16, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on June 07, 2022.

The customer alleges that a misrepresentation was made regarding the amount to be received upon maturity date

Broker Kumail Abbas in Network 1 Financial Securities INC. Firm Has Customer Complaint

November 16, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kumail Abbas (Abbas), currently associated with Network 1 Financial Securities INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Abbas 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 June 09, 2022.

Client alleges unsuitability from 2016-2018.

Broker Joshua Tabaj in Lincoln Financial Advisors Corporation Firm Has Customer Complaint

November 16, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on June 06, 2022.

Claimant alleges the RR recommended an unsuitable Oil & Gas investment.

There are Recent Customer Complaints with Broker Gregory Melendez in Firm Network 1 Financial Securities INC.

November 16, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gregory Melendez (Melendez), currently associated with Network 1 Financial Securities INC., has at least one disclosable event. These events include one customer complaint, alleging that Melendez 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 $50,000.00 on June 10, 2022.

Client alleges unsuitable recommendations.

There are Recent Customer Complaints with Broker Michael Illari in Firm Charles Schwab & Co., INC.

November 16, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on June 06, 2022.

The client alleges the representative provided a poor recommendation when advising the client to enroll in the Wasmer Schroeder Short Duration Bond Investment Strategy.