Reg BI

There are Recent Customer Complaints with Broker Wendell Trapp in Firm San Blas Securities LLC

March 16, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Wendell Trapp (Trapp), previously associated with San Blas Securities LLC, has at least 8 disclosable events. These events include 8 customer complaints, alleging that Trapp 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 $638,052.00 on September 30, 2024.

Attorney for client alleges the financial advisor was supposed to invest client’s funds in a municipal bond earning 4.65%, but financial advisor made numerous unauthorized purchases and sent funds from client account to unknown parties. Client requests compensation related to Financial Advisor conduct.

There are Recent Customer Complaints with Broker Oybek Giyazov in Firm Wells Fargo Clearing Services, LLC

March 16, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on September 27, 2024.

Plaintiffs allege the FA made misrepresentations and unsuitable investments.

There are Recent Customer Complaints with Broker George Amanatides in Firm David Lerner Associates, Inc.

March 16, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker George Amanatides (Amanatides), currently associated with David Lerner Associates, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Amanatides 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 $92,175.00 on September 27, 2024.

Allegations: breach of fiduciary duty, unsuitability, misrepresentation/omission in connection with E11 and E12.\, \, Allegation period: December 16, 2015 the date of first purchase of E11 to September 27, 2024 the date the SOC was received.

There are Recent Customer Complaints with Broker Michael Halperin in Firm Morgan Stanley

March 16, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on September 30, 2024.

Client alleges failure to follow instructions related to investing his IRA funds into two index fund ETFs and failure to make any recommendations to invest those funds.

There are Recent Customer Complaints with Broker Tamber Proctor in Firm Securities America, Inc.

March 16, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Tamber Proctor (Proctor), previously associated with Securities America, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Proctor 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 $324,500.00 on September 30, 2024.

Two past clients are alleging inappropriate investments by the advisor during period of Covid pandemic that resulted in losses.

Broker Christopher Wright in Realta Equities, Inc. Firm Has Customer Complaint

March 16, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Wright (Wright), currently associated with Realta Equities, Inc., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Wright 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 $90,000.00 on October 01, 2024.

The claimant alleges unsuitable investments.

Broker Carlos Leston in LPL Financial LLC Firm Has Customer Complaint

March 16, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint on September 30, 2024.

LESTON ENGAGED IN DISHONEST OR UNETHICAL BUSINESS PRACTICES \<char_lb_r>\, IN THE SECURITIES BUSINESS. LESTON ENGAGED IN DISHONEST OR UNETHICAL BUSINESS PRACTICES IN THE INSURANCE BUSINESS. LESTON IS THE SUBJECT OF AN ORDER OF A SELF-REGULATORY \<char_lb_r>\, ORGANIZATION EXPELLING HIM FROM A SELF-REGULATORY ORGANIZATION.

Broker Brian Graham in Cetera Advisor Networks LLC Firm Has Customer Complaint

March 16, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint on September 27, 2024.

Without admitting or denying the findings, Graham consented to the sanction and to the entry of findings that he refused to appear for on-the-record testimony requested by FINRA in connection with its investigation of the allegations made in an amended Form U4 submitted by his member firm. The findings stated that the Form U4 disclosed that a customer alleged that Graham made unauthorized ATM withdrawals.

There are Recent Customer Complaints with Broker Ted Kirkpatrick in Firm Larson Financial Securities, LLC

March 16, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on September 27, 2024.

Customer alleges they believed they were purchasing a life insurance policy with a long-term care rider in March of 2017. However, after review in 2024, they learned that their policy did not have a long-term care rider. They are now seven years older and do not believe they will be able to afford the higher premiums. They are asking Edward Jones “to take responsibility for this”.

There are Recent Customer Complaints with Broker Donald Hancock in Firm Moloney Securities Co., Inc.

March 16, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Donald Hancock (Hancock), currently associated with Moloney Securities Co., Inc., has at least 2 disclosable events. These events include one customer complaint, one regulatory, alleging that Hancock 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 $359,325.61 on September 30, 2024.

Suitability/negligence. 2021