Reg BI

Broker Michael Campos in D.a. Davidson & Co. Firm Has Customer Complaint

March 23, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Campos (Campos), currently associated with D.a. Davidson & Co., has at least one disclosable event. These events include one customer complaint, alleging that Campos 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 $31,583.00 on September 05, 2024.

Recently appointed POA alleges that investments recommended by the advisor in September 2021 were unsuitable.

There are Recent Customer Complaints with Broker Christopher Arnella in Firm Morgan Stanley

March 23, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint on September 05, 2024.

Without admitting or denying the findings, Arnella consented to the sanctions and to the entry of findings that he made promissory and unwarranted statements about a publicly traded company, and statements that predicted the future performance of the company’s stock. The findings stated that Arnella publicly posted his opinion about what he expected the future stock price of the company to be by the end of on eyear. Arnella also stated, in writing, to two firm customers that there was a 100 percent chance that the company’s loss in a patent litigation trial would be overturned.

Broker James Lucas in Transamerica Financial Advisors, Inc Firm Has Customer Complaint

March 23, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Lucas (Lucas), previously associated with Transamerica Financial Advisors, Inc, has at least one disclosable event. These events include one customer complaint, alleging that Lucas 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 $165,460.00 on September 06, 2024.

Customer alleges that the representative informed him that his purchase amount would double in 10 years. The customer contacted the representative after confirming that this did not occur at the 10-year mark.

There are Recent Customer Complaints with Broker Ali Taj in Firm Talley & Company

March 23, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ali Taj (Taj), previously associated with Talley & Company, has at least one disclosable event. These events include one tax lien, alleging that Taj recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on September 05, 2024.

Alleged antifraud, registration and custody violations

Broker Angela Zachman in LPL Financial LLC Firm Has Customer Complaint

March 23, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Angela Zachman (Zachman), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Zachman 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 $40,000.00 on September 05, 2024.

Claimant alleges representative recommended unsuitable investments during the time period December 2014 – May 2022.

Broker Mark Roberts in Creativeone Securities, LLC Firm Has Customer Complaint

March 23, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Roberts (Roberts), currently associated with Creativeone Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Roberts 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 $650,000.00 on September 06, 2024.

Claimant claims an inappropriate investment strategy involving insurance was sold to him resulting in a loss.

There are Recent Customer Complaints with Broker Randy Fox in Firm Gt Securities, Inc.

March 23, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Randy Fox (Fox), previously associated with Gt Securities, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Fox 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 $120,000.00 on September 06, 2024.

Negligent supervision and due diligence, improper conduct, breach of fiduciary duty. Approval of unsuitable, illiquid investment.

Broker John Egan in Western International Securities, Inc. Firm Has Customer Complaint

March 23, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Egan (Egan), previously associated with Western International Securities, Inc., has at least 6 disclosable events. These events include 6 customer complaints, alleging that Egan 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 September 06, 2024.

Customer alleges that an investment recommendation was unsuitable.

There are Recent Customer Complaints with Broker Thomas Rinek in Firm LPL Financial LLC

March 23, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint on September 05, 2024.

Without admitting or denying the findings, Rinek consented to the sanctions and to the entry of findings that he improperly sent nonpublic personal information of his member firms’ customers to his personal email address without the customers’ knowledge or consent and in contravention of his firm’s procedures. The findings stated that the information included customer names, social security and tax identification numbers, dates of birth, securities account numbers, securities positions, physical addresses, and phone numbers. Rinek improperly retained this information after his termination from his member firm, while associated with another firm, but has since deleted it.

Broker Edgardo Cabanillas in UBS Financial Services Incorporated of Puerto Rico Firm Has Customer Complaint

March 23, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on September 06, 2024.

Time frame: Unspecified \, Allegations: Claimant alleges her investments in Puerto Rico closed-end funds were unsuitable, over-concentrated, and misrepresented as safe investments.