Articles Posted in Reg BI

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Shaun Stein (Stein), currently associated with Arete Wealth Management, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Stein 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 $94,246.40 on April 13, 2026.

Client alleges unsuitable investment.

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

FINRA BrokerCheck shows a pending customer complaint on April 10, 2026.

Claimant alleges unsuitable investments.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Rafael Klein (Klein), currently associated with David Lerner Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Klein 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 $100,001.00 on April 13, 2026.

Unsuitability, misrepresentations and breach of fiduciary duty. \, \, Allegation period: 4/19/2016 the date of the first purchase of Energy 11 to April 13, 2026 the date the SOC was received.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Suihock Goy (Goy), currently associated with Ni Advisors, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Goy 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 $100,000.00 on April 22, 2026.

Mr. Goy was supervisor, but not representative of record and was not involved in recommendation of the product to the client. Claims breach of contract, breach of fiduciary duty, negligence, etc., regarding investing in illiquid product twice during 2024.

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

FINRA BrokerCheck shows a pending customer complaint on April 15, 2026.

The client alleges misrepresentations, including on his monthly brokerage statements, regarding inter-account transfers and trading from 2007-2021.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Roger Bowlin (Bowlin), currently associated with Aurora Securities, has at least 12 disclosable events. These events include 12 customer complaints, alleging that Bowlin 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 April 14, 2026.

Customer alleges unsuitable investment recommendation in real estate security.

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

FINRA BrokerCheck shows a pending customer complaint on April 23, 2026.

Claimant alleges exercise of discretion  and unsuitable trading. Activity dates July 2015 –  September 2021.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker N. Hoover (Hoover), currently associated with Stifel, Nicolaus & Company, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Hoover 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 $976,763.00 on April 15, 2026.

Customer alleges registered representative did not conduct due diligence to advise customer as to the suitability of a life insurance policy.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Kumm (Kumm), currently associated with Level Four Financial, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kumm 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 $168,338.00 on April 27, 2026.

William kumm failed to provide advice relating to the annuitization of an annuity during the time frame of February 8, 2023 (the notice date) and April 10, 20123 (the annuitization date).

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

FINRA BrokerCheck shows a pending customer complaint on April 17, 2026.

Client alleges, inter alia, that his managed account and the fees charged were not managed in his best interests 2024-2026

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