Reg BI

There are Recent Customer Complaints with Broker Matthew Schiller in Firm Regulus Financial Group, LLC

July 14, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Schiller (Schiller), previously associated with Regulus Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Schiller 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 08, 2023.

Claimant alleges unsuitable investments in client account made by Sanjay Bhargava and Matthew Schiller in January 2021. Regulus Financial Group finds no fault in Sanjay Bhargava and Mathew Schiller and is pursuing denial of claim in arbitration.

Broker Brandon Kohnen in Nylife Securities LLC Firm Has Customer Complaint

July 14, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on August 03, 2023.

The Customer alleges she was misinformed when insurance policies, including a VUL, were recommended to her in May 2022.

There are Recent Customer Complaints with Broker Phil Andrews in Firm LPL Financial LLC

July 14, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Phil Andrews (Andrews), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Andrews 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 $43,000.00 on August 03, 2023.

Advisor made unsuitable recommendation of alternative investment from March 2016.

There are Recent Customer Complaints with Broker Christopher Dunlevy in Firm Lincoln Financial Advisors Corporation

July 14, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Dunlevy (Dunlevy), previously associated with Lincoln Financial Advisors Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Dunlevy 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 $524,957.53 on August 07, 2023.

Customers allegations involve management of their fixed annuities in January 2023

There are Recent Customer Complaints with Broker Randy Holmeen in Firm Morgan Stanley

July 14, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Randy Holmeen (Holmeen), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Holmeen 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 $168,000.00 on August 07, 2023.

Claimants allege, inter alia, unsuitability with respect to investments in accounts – 2021 – 2023

There are Recent Customer Complaints with Broker Lisa Capobianco in Firm Morgan Stanley

July 14, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lisa Capobianco (Capobianco), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Capobianco 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 $168,000.00 on August 07, 2023.

Claimants allege, inter alia, unsuitability with respect to investments in accounts – 2021 – 2023

There are Recent Customer Complaints with Broker Daniel Klein in Firm Private Client Services, LLC

July 14, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Klein (Klein), currently associated with Private Client Services, LLC, 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 settled customer complaint on August 02, 2023.

Customer alleges representative made concentrated investments in customer’s accounts in alternative investment products that were inappropriate for the customer’s investment objectives. Time period 2009-2023.

Broker Carolyn Valentine in Cambridge Investment Research, INC. Firm Has Customer Complaint

July 14, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Carolyn Valentine (Valentine), currently associated with Cambridge Investment Research, INC., has at least one disclosable event. These events include one customer complaint, alleging that Valentine 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 $882,557.00 on August 08, 2023.

The Statement of Claim is filed on behalf of ten claimants against four broker-dealers, including Grove Point Investments, LLC, involving the same investment, – Centerpointe tenant in common interests offered by Cole Capital Partners, LLC. Claimants allege unsuitability, breach of fiduciary duty, and negligence. Grove Point is contesting the claims in full. Activity occurred July 14, 2007 to November 19, 2019.

Broker John Philipkosky in Cetera Advisor Networks LLC Firm Has Customer Complaint

July 14, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Philipkosky (Philipkosky), previously associated with Cetera Advisor Networks LLC, has at least one disclosable event. These events include one customer complaint, alleging that Philipkosky 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 $260,000.00 on August 07, 2023.

TRUSTEE ALLEGES REP ASSISTED [REDACTED] WITH MAKING A CHANGE TO HER TRUST IN OCTOBER 2019 AT WHICH TIME TRUSTEE CLAIMS SHE WAS NOT OF SOUND MIND. TRUSTEE FURTHER ALLEGES THE CHANGE WAS DETRIMENTAL TO HIM BECAUSE HE COULD NOT SELL CERTAIN PROPERTY AS INTENDED. TRUSTEE ALSO ALLEGED THAT RR HAD [REDACTED]’S SIGNATURE NOTARIZED IMPROPERLY.

There are Recent Customer Complaints with Broker Conrado Santiago in Firm Ameriprise Financial Services, LLC

July 14, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Conrado Santiago (Santiago), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Santiago 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 $18,000.00 on August 03, 2023.

The clients alleged the advisor did not follow instructions to modify insurance coverage and allowed their portfolio to decrease in value by not investing funds into a conservative annuity position.