Reg BI

There are Recent Customer Complaints with Broker Alain Ohayon in Firm Aegis Capital Corp.

March 19, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on September 16, 2024.

Time frame: Unsuitable investments, breach of fiduciary duty, and breach of contract.

There are Recent Customer Complaints with Broker Richard Belz in Firm R. F. Lafferty & Co., Inc.

March 19, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Belz (Belz), currently associated with R. F. Lafferty & Co., Inc., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Belz 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 September 16, 2024.

Unsuitability breach of fiduciary duty, misrepresntations of risk of trades in 2021 and 2022.

Broker Ryan Caldwell in Morgan Stanley Firm Has Customer Complaint

March 18, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ryan Caldwell (Caldwell), previously associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Caldwell 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 $1,200,000.00 on September 20, 2024.

Claimant alleges, inter alia, that the Option Trades Executed in his account were unauthorized – April 2022 through November 2023

Broker Jason Salmon in Fnex Capital, LLC Firm Has Customer Complaint

March 18, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on September 23, 2024.

From investment activity in 2019, claimants allege the following: failure to conduct reasonable due diligence, failure to make material disclosures, failure to conduct suitability, misrepresentation and omissions, branch of contract, breach of fiduciary duty.

Broker Dwight Kay in Fnex Capital, LLC Firm Has Customer Complaint

March 18, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on September 23, 2024.

From investment activity in 2019, claimants allege the following: failure to conduct reasonable due diligence, failure to make material disclosures, failure to conduct suitability, misrepresentation and omissions, branch of contract, breach of fiduciary duty

Broker Eva Ovejero in Raymond James & Associates, Inc. Firm Has Customer Complaint

March 18, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eva Ovejero (Ovejero), currently associated with Raymond James & Associates, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Ovejero 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 $3,275,000.00 on September 23, 2024.

Client’s attorney alleges, inter alia, that by way of negligence, misrepresentation, and a breach of fiduciary duty, the client was induced to invest with a third-party in investments managed and held away from Morgan Stanley.

Broker Richard Michalski in Laidlaw & Company (uk) Ltd. Firm Has Customer Complaint

March 18, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Michalski (Michalski), currently associated with Laidlaw & Company (uk) Ltd., has at least 3 disclosable events. These events include one customer complaint, 2 tax liens, alleging that Michalski 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 $399,000.00 on September 23, 2024.

Client alleges breach of fiduciary duty from 2018 to 2023

There are Recent Customer Complaints with Broker Huanwei Huang in Firm Glendale Securities, Inc.

March 18, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Huanwei Huang (Huang), currently associated with Glendale Securities, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Huang 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 $580,000.00 on September 21, 2024.

BREACH OF DUTY, CONVERSION, FRAUD AND MISREPRESENTATION, UNJUST ENRICHMENT, NEGLIGENCE, EXTREME EMOTIONAL DISTRESS. TIME PERIOD: BETWEEN 2020-2023

There are Recent Customer Complaints with Broker Iliasser Arias in Firm Wells Fargo Clearing Services, LLC

March 18, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Iliasser Arias (Arias), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Arias 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 $5,699,336.00 on September 23, 2024.

Allegations were made that without authorization on or about July 2021 funds from a business account were misappropriated to personal accounts held by family members.

Broker Walter Williams in Commonwealth Financial Network Firm Has Customer Complaint

March 18, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Walter Williams (Williams), currently associated with Commonwealth Financial Network, has at least one disclosable event. These events include one customer complaint, alleging that Williams 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 $75,000.00 on September 20, 2024.

Claimants allege the RR recommended an unsuitable Oil & Gas investment.