Articles Posted in Reg BI

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Copley (Copley), currently associated with Copley Alternative Investments INC., has at least one disclosable event. These events include one customer complaint, alleging that Copley 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 $10,000,000.00 on May 19, 2026.

Compensatory damages, breach of written contract, breach of fiduciary duty, negligence and gross negligence, misrepresentations and omissions, violation of FINRA Rules, violation of California Securities Act and federal securities laws and violation of Regulation Best Interest Obligations. Investment done in 2021\,

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Mcpherson (Mcpherson), currently associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mcpherson 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 $250,000.00 on May 20, 2026.

Violation of Regulation Best Interest, Violation of FINRA Rules 2010, 2111, and 3110; negligence, negligent misrepresentations and omissions of material risks, common law fraud and fraudulent inducement, breach of fiduciary duty, Violations of the Georgia Uniform Securities Act, gross negligence. Investment placed in or around 7/31/2023

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeremy Hershey (Hershey), currently associated with the Huntington Investment Company, has at least one disclosable event. These events include one customer complaint, alleging that Hershey 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 May 19, 2026.

Client alleges misrepresentation in the April 2026 purchase of a $300,000.00 market-linked certificate of deposit.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Scott Tally (Tally), currently associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Tally 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 $11,326.89 on May 20, 2026.

Customer allege the Variable Annuity policies the purchased between June 2018 – June 2022 were not suitable recommendations.

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

FINRA BrokerCheck shows a pending customer complaint on May 21, 2026.

The customer alleges he was misled when he purchased two variable annuities in February 2021 and July 2024.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Nadeau (Nadeau), currently associated with Kingswood Capital Partners, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Nadeau 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 $150,000.00 on May 20, 2026.

-By engaging in the conduct described above, Respondent failed to act in the best interest of its client\,

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kirk Welcome (Welcome), currently associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Welcome 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 May 20, 2026.

Client alleges RR misappropriated funds in connection with marital assets held in their investment account.

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

FINRA BrokerCheck shows a pending customer complaint on May 20, 2026.

Client/Trustee complained that they were not advised about tax liability on capital gains realized when the Financial Advisor repositioned their discretionary account. Client seeks reduction in advisory fee to compensate for taxes paid on gains. (1/22/2025 – 5/20/2026)

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dwain Phelps (Phelps), currently associated with Arete Wealth Management, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Phelps 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 $59,000.00 on May 19, 2026.

Client alleges that Mr. Phelps, acting as an insurance agent, sold an overconcentration of illiquid fixed annuities and created a tax burden upon a recommendation of a withdrawal.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Edward Fernandez (Fernandez), currently associated with Capulent LLC, has at least one disclosable event. These events include one customer complaint, alleging that Fernandez 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 $292,134.00 on May 21, 2026.

Claimants allege that an investment in the Vintage DSTs sponsored by Versity Investments LLC (aka Crew) was unsuitable for their 1031 Exchange investment.

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