Reg BI

There are Recent Customer Complaints with Broker Randy Birkinbine in Firm Ausdal Financial Partners, INC.

September 4, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Randy Birkinbine (Birkinbine), currently associated with Ausdal Financial Partners, INC., has at least one disclosable event. These events include one customer complaint, alleging that Birkinbine 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 March 24, 2025.

Breach of written contracts; Breach of fiduciary duty; Failure to supervise; negligence and gross negligence.

There are Recent Customer Complaints with Broker Robert Reckinger in Firm Morgan Stanley

September 4, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on July 07, 2025.

December 4th, 2013 to July 3rd, 2025 What were the allegations against the individual? The trustee alleges that as a retiree and layperson, the client's best interest were breached with the recommendation to purchase the investment given the Fund's poor performance and illiquidity which posed a significant risk to her financial security. Further allegations state that advisor (had the obligation as a fiduciary) to clearly explain the risks, including the potential for prolonged lockup periods and the Fund's high-risk allocation strategy.

Broker Stefan Dolgoff in LPL Enterprise, LLC Firm Has Customer Complaint

September 4, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stefan Dolgoff (Dolgoff), previously associated with LPL Enterprise, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Dolgoff 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 $109,290.47 on July 09, 2025.

Customers allege they suffered losses as a result of unauthorized trading relating to a variable annuity in January 2025.

Broker Pablo Paternina in Goldman Sachs & CO. LLC Firm Has Customer Complaint

September 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Pablo Paternina (Paternina), currently associated with Goldman Sachs & CO. LLC, has at least one disclosable event. These events include one customer complaint, alleging that Paternina 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 $925,000.00 on July 25, 2025.

The client alleged that the representative, who did not have discretionary authority, failed to follow instructions, act in accordance with the client’s investment objectives, and disclose the related risks with respect to the strategy employed, notwithstanding the trades being placed with the client’s consent in a client-directed brokerage account.

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

September 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nicholas Yeros (Yeros), currently associated with Charles Schwab & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Yeros 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 $17,632.89 on August 13, 2025.

The client alleges in April 2025, the representative failed to follow his instructions regarding the execution of trades.

Broker Jonathan Hurm in Equitable Advisors, LLC Firm Has Customer Complaint

September 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jonathan Hurm (Hurm), previously associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hurm 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 $5,000.00 on July 31, 2025.

Clients allege the RR misrepresented the terms of their variable life insurance policies purchased in 2021.

Broker Joey Miller in Dai Securities, LLC Firm Has Customer Complaint

September 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joey Miller (Miller), currently associated with Dai Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Miller 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 $779,212.00 on August 04, 2025.

Client alleges registered representative sold an unsuitable investment.

There are Recent Customer Complaints with Broker Joseph Beam in Firm Capital Investment Group, INC.

September 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Beam (Beam), previously associated with Capital Investment Group, INC., has at least one disclosable event. These events include one customer complaint, alleging that Beam 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 $200,000.00 on August 04, 2025.

Client invested in GWG Holdings L-Bonds and two annuity products. GWG Holdings, Inc. filed Chapter 11 bankruptcy on April 20, 2022., The Statement of Claim alleges unsuitable recommendations, and violations of Regulation Best Interest.

Broker Cara Miller in Proequities, INC. Firm Has Customer Complaint

September 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Cara Miller (Miller), previously associated with Proequities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Miller 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 $30,000.00 on July 23, 2025.

Alleged unsuitable investment in limited partnership

Broker Peter Po in Emerson Equity LLC Firm Has Customer Complaint

September 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Peter Po (Po), currently associated with Emerson Equity LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Po recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on July 30, 2025.

Statement of claim alleges breach of contract, breach of fiduciary duty, etc., regarding two client households purchasing corporate bonds during 2018-2020. The issuing company subsequently declared bankruptcy and proceedings are continuing.