Reg BI

Broker Ali Mahlooji in Phx Financial, Inc. Firm Has Customer Complaint

April 5, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on August 19, 2024.

Between the dates of 11/2020 thru 12/2023, claimant alleges respondent recommended unsuitable investments.

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

April 5, 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 4 disclosable events. These events include 4 customer complaints, 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 $950,000.00 on August 19, 2024.

Claimants allege that registered representative made unsuitable recommendations for purchase of alternative investments.

Broker Henry Chang in Laidlaw & Company (uk) Ltd. Firm Has Customer Complaint

April 5, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Henry Chang (Chang), currently associated with Laidlaw & Company (uk) Ltd., has at least one disclosable event. These events include one regulatory event, alleging that Chang recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on August 19, 2024.

Respondent Chang failed to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA request to provide information concerning the status of compliance.

Broker William Burks in Centaurus Financial, Inc. Firm Has Customer Complaint

April 5, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Burks (Burks), currently associated with Centaurus Financial, Inc., has at least 4 disclosable events. These events include 4 customer complaints, alleging that Burks 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 20, 2024.

The customer alleges that the Registered Representative recommended unsuitable, illiquid, speculative investments and breached his fiduciary duty. No specific dates or investments were identified for the alleged activity in the Statement of Claim.

There are Recent Customer Complaints with Broker Cain Kobert in Firm LPL Financial LLC

April 5, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint on August 19, 2024.

Rendered investment advice, from a location within Florida, without being registered by the Office.

There are Recent Customer Complaints with Broker David Rhodes in Firm Cetera Advisor Networks LLC

April 5, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on August 19, 2024.

Claimant alleges they were recommended unsuitable investments.

Broker Lisa Esteves-dixon in Raymond James & Associates, Inc. Firm Has Customer Complaint

April 5, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lisa Esteves-dixon (Esteves-dixon), currently associated with Raymond James & Associates, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Esteves-dixon 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 $10,667.00 on August 19, 2024.

Claimant alleges purchase of Treasury Bills approved by Claimant became improper when Claimant’s third party bank failed to timely transfer money into Claimant’s Raymond James account to purchase the securities, thus leaving the securities to be purchased with margin.

Broker Eileen Cure in LPL Financial LLC Firm Has Customer Complaint

April 5, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eileen Cure (Cure), previously associated with LPL Financial LLC, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Cure 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 $25,000.00 on August 20, 2024.

Customer alleged the investment they purchased in 2015 was not suitable.

There are Recent Customer Complaints with Broker Roger Given in Firm LPL Financial LLC

April 5, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Roger Given (Given), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Given 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 $25,000.00 on August 20, 2024.

Customer alleged the investment they purchased in 2015 was not suitable.

Broker Rawney Mcvaney in Emerson Equity LLC Firm Has Customer Complaint

April 5, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Rawney Mcvaney (Mcvaney), previously associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mcvaney 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 $1,000,000.00 on August 19, 2024.

Unlawful Overconcentration, breach of fiduciary duty, suitability, violation of FINRA Rule 2210, fraudulent misrepresentation and omissions, violation of FINRA Rules 2010, IM-2310-2, and 2020, breach of contract,