Reg BI

There are Recent Customer Complaints with Broker Robert Schultz in Firm Osaic Wealth, INC.

April 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Schultz (Schultz), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Schultz 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 $75,000.00 on June 17, 2024.

Claimant alleges unsuitable recommendation and sale of alternative investments.

There are Recent Customer Complaints with Broker Bryan Emerson in Firm Cim Securities, LLC

April 28, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on June 14, 2024.

Suitability, Breach of Contract, Account Negligence/Supervision.

There are Recent Customer Complaints with Broker Melvin Rokeach in Firm May Capital Group, L.l.c.

April 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Melvin Rokeach (Rokeach), previously associated with May Capital Group, L.l.c., has at least one disclosable event. These events include one customer complaint, alleging that Rokeach 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 $125,000.00 on June 17, 2024.

Statement of Claim names May Capital Group, LLC as the Respondent. Melvin Rokeach is identified as the broker/representative of the firm. Claims against the Respondent are misrepresentation, failure to conduct reasonable due diligence, and failure to supervise.

Broker Larry Ware in Avantax Investment Services, INC. Firm Has Customer Complaint

April 28, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on June 13, 2024.

Customer alleged their investments were not suitable.

Broker Joseph Storzinger in IBN Financial Services, INC. Firm Has Customer Complaint

April 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Storzinger (Storzinger), currently associated with IBN Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Storzinger 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 $400,000.00 on June 17, 2024.

SOC alleges that during the period of his association with the Firm, Respondent was liable for: violations of FINRA Rules 2010, 2020, 2111, and 3280; negligence; and, breach of contract. The Respondents period of registration has been since December 2022.

There are Recent Customer Complaints with Broker Stephen Kiszlowski in Firm Center Street Securities, INC.

April 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stephen Kiszlowski (Kiszlowski), previously associated with Center Street Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Kiszlowski 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 $60,200.00 on June 16, 2024.

GWG bond was no suitable for the customer

There are Recent Customer Complaints with Broker Michael Shatsky in Firm Oppenheimer & CO. INC.

April 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Shatsky (Shatsky), previously associated with Oppenheimer & CO. INC., has at least one disclosable event. These events include one customer complaint, alleging that Shatsky 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 $788,000.00 on June 14, 2024.

Claimants allege that IAR did not accurately represent all material facts about their investment account and did not reasonably manage the account in 2020 and 2021.

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

April 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Wright (Wright), currently associated with Charles Schwab & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Wright 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 $5,700.00 on June 14, 2024.

On or about November 21, 2021, the representative recommended to invest cash in cash sweep account so money could be readily accessed. The client alleges this was a poor recommendation because the cash sweep account allegedly paid little to no interest.

Broker George Gomez in LPL Financial LLC Firm Has Customer Complaint

April 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker George Gomez (Gomez), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Gomez 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 $400,000.00 on June 13, 2024.

Estate executors allege that between 2014 and 2021, representative recommended certain alternative investments that were allegedly unsuitable for the client’s portfolio.

There are Recent Customer Complaints with Broker Paul Nathe in Firm Oppenheimer & CO. INC.

April 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Paul Nathe (Nathe), currently associated with Oppenheimer & CO. INC., has at least one disclosable event. These events include one customer complaint, alleging that Nathe 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 $409,002.00 on June 14, 2024.

Claimant alleges that his stock portfolio was sold without his authorization. 2022 – present