Articles Posted in Reg BI

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sergio Rodriguez (Rodriguez), currently associated with Cetera Wealth Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Rodriguez 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 April 03, 2026.

Customer purchased a market-linked CD in January of 2018. Customer now alleges MLCD was misrepresented to her both in maturity date and interest payment terms.

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

FINRA BrokerCheck shows a pending customer complaint on April 06, 2026.

Clients allege the product was unsuitable.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Birkner (Birkner), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Birkner 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 $1,439,541.00 on April 09, 2026.

Claimant alleged, inter alia, misrepresentation with respect to investment recommendations- 2024 to 2025

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Goodwin (Goodwin), currently associated with Great Point Capital LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Goodwin 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 $186,756.35 on April 06, 2026.

Client claims investment recommendation was unsuitable in view of his financial situation, investment objectives and risk tolerance.

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

FINRA BrokerCheck shows a pending customer complaint on April 09, 2026.

Claimant alleges that in August 2024 the FA made unsuitable investments.

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

FINRA BrokerCheck shows a pending customer complaint on April 03, 2026.

Plaintiff alleges that the FA failed to follow instructions to transfer monies from a brokerage account.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Kroehle (Kroehle), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Kroehle 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 April 02, 2026.

Claimants allege the FP recommended unsuitable alternative investments.

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

FINRA BrokerCheck shows a pending customer complaint on April 02, 2026.

Breach of fiduciary duty, negligence and negligent misrepresentation, breach of contract, overconcentration (negligence and breach of fiduciary duty), violation of Regulation Best Interest. Investments purchased between 2019 and 2020

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

FINRA BrokerCheck shows a pending customer complaint on March 31, 2026.

The claimants allege unsuitable investments, breach of fiduciary duty, negligent supervision, violation of Regulation Best Interest

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ralph Jackson (Jackson), previously associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Jackson 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 $6,272,362.00 on March 31, 2026.

Client’s attorney alleges, inter alia, that the trading implemented in the client’s account was excessive and unsuitable  2021-2025

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