Reg BI

There are Recent Customer Complaints with Broker Michael Graham in Firm LPL Financial LLC

March 7, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Graham (Graham), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Graham 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 $276,200.00 on January 15, 2025.

Customer alleges that an investment made in 2023 was unsuitable for the customer’s investment objectives and risk tolerance and that the registered representative engaged in securities transactions away from the firm.

There are Recent Customer Complaints with Broker Janice Youngblood in Firm LPL Financial LLC

March 7, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Janice Youngblood (Youngblood), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Youngblood 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 $18,700.00 on January 22, 2025.

Customer alleges that advisor made unauthorized sale of stock in October 2022 to cover required minimum distribution.

Broker Keith Dagostino in Ef Hutton LLC Firm Has Customer Complaint

March 7, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Keith Dagostino (Dagostino), previously associated with Ef Hutton LLC, has at least 15 disclosable events. These events include 15 customer complaints, alleging that Dagostino recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on January 14, 2025.

Time frame: Unspecified. Claimant alleges unsuitable investments, breach of contract, and breach of fiduciary duty.

There are Recent Customer Complaints with Broker John Gerken in Firm Centaurus Financial, Inc.

March 7, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Gerken (Gerken), currently associated with Centaurus Financial, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Gerken 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 $12,041.00 on January 15, 2025.

The customer alleges that in October 2023, the Registered Representative misrepresented and recommended an illiquid investment.

There are Recent Customer Complaints with Broker Shannon Powers in Firm Innovation Partners LLC

March 7, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Shannon Powers (Powers), currently associated with Innovation Partners LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Powers 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 $50,000.00 on January 13, 2025.

Customer alleges that an investment recommendation was unsuitable and misleading.

There are Recent Customer Complaints with Broker Ian Greenblatt in Firm Capitol Securities Management, Inc.

March 7, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ian Greenblatt (Greenblatt), currently associated with Capitol Securities Management, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Greenblatt 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 $150,000.00 on January 15, 2025.

The client alleges that the advisor has been making excessive and high-risk trades in his account.

There are Recent Customer Complaints with Broker Walter Schram in Firm Ameriprise Financial Services, LLC

March 7, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Walter Schram (Schram), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Schram 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 $300,000.00 on January 15, 2025.

Time frame: May 2012 to 2023 Allegations: Claimant’s counsel alleges UBS failed to do adequate due diligence on a fund of funds, which counsel alleges was unsuitable for any investor, and as a result all relevant risks were not disclosed to investors.

There are Recent Customer Complaints with Broker Roger Roemmich in Firm Alexander Capital, L.p.

March 7, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Roger Roemmich (Roemmich), currently associated with Alexander Capital, L.p., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Roemmich 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 January 16, 2025.

Allegations include suitability, and false and/or materially misleading statements.

There are Recent Customer Complaints with Broker Thomas Johnson in Firm Nylife Securities LLC

March 6, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint on January 23, 2025.

Respondent Johnson failed to respond to FINRA requests for information.

Broker Jennifer Silberman in MML Investors Services, LLC Firm Has Customer Complaint

March 6, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint on January 25, 2025.

Representative admits that she demonstrated incompetence, within the meaning of Section 2110(a)(4) of the Insurance Law, in that, during the approximate period of March 2021 through December 2021, while appointed as an agent of New York Life Insurance Company, Respondent: (a) electronically signed insurance-related documents without the insureds’ knowledge and/or consent; and (b) in connection with the replacement of life insurance policies, Representative provided each applicant with a Disclosure Statement form that contained false and/or inaccurate information, in violation of Regulation 60 (11 NYCRR 51.5).