Reg BI

Broker Vincent Catalano in Cambridge Investment Research, Inc. Firm Has Customer Complaint

March 2, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Vincent Catalano (Catalano), currently associated with Cambridge Investment Research, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Catalano 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 $25,000.00 on October 28, 2024.

Claimant alleges the RR recommended an unsuitable Oil & Gas investment.

There are Recent Customer Complaints with Broker Brent Fuchs in Firm Osaic Wealth, Inc.

March 2, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brent Fuchs (Fuchs), currently associated with Osaic Wealth, Inc., has at least 9 disclosable events. These events include 9 customer complaints, alleging that Fuchs 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 October 28, 2024.

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

There are Recent Customer Complaints with Broker Avi Frohlichman in Firm Lincoln Financial Securities Corporation

March 2, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Avi Frohlichman (Frohlichman), previously associated with Lincoln Financial Securities Corporation, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Frohlichman 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 $47,000.00 on October 28, 2024.

Claimant alleges the RR recommended an unsuitable Oil & Gas investment.

There are Recent Customer Complaints with Broker Elizabeth Liechty in Firm LPL Financial LLC

March 2, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Elizabeth Liechty (Liechty), currently associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Liechty 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 $63,000.00 on October 28, 2024.

Claimant alleges their RR recommended an unsuitable Oil and Gas investment.

There are Recent Customer Complaints with Broker Ray Gallette in Firm Coastal Equities, Inc.

March 2, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ray Gallette (Gallette), previously associated with Coastal Equities, Inc., has at least 7 disclosable events. These events include 7 customer complaints, alleging that Gallette 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 $239,000.00 on October 28, 2024.

The claimant alleges unsuitable investment recommendations.

Broker Richard Brownstein in Lincoln Financial Advisors Corporation Firm Has Customer Complaint

March 2, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Brownstein (Brownstein), previously associated with Lincoln Financial Advisors Corporation, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Brownstein 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 October 28, 2024.

Claimant alleges the RR recommended an unsuitable Oil & Gas Investment

There are Recent Customer Complaints with Broker Alfred Barter in Firm LPL Financial LLC

March 2, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alfred Barter (Barter), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Barter 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 $30,000.00 on October 28, 2024.

Claimant alleges their RR recommended an unsuitable Oil and Gas investment.

Broker Robert Grenus in LPL Financial LLC Firm Has Customer Complaint

March 2, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Grenus (Grenus), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Grenus 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 $25,000.00 on October 28, 2024.

Claimant alleges the RR recommended an unsuitable Oil & Gas investment.

There are Recent Customer Complaints with Broker Chadwick Watson in Firm LPL Financial LLC

March 2, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Chadwick Watson (Watson), currently associated with LPL Financial LLC, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Watson 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 $140,000.00 on October 28, 2024.

Claimant alleges their RR recommended unsuitable Oil and Gas Investments

Broker Robert Restino in Lincoln Investment Firm Has Customer Complaint

March 2, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Restino (Restino), currently associated with Lincoln Investment, has at least one disclosable event. These events include one customer complaint, alleging that Restino 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 $500,000.00 on October 28, 2024.

Client alleges she desired conservative approach to investing and financial professional led her to believe that her portfolio was conservatively invested. Client further alleges that an agreement requiring binding arbitration May have been executed but that such agreement was only signed after explicit guarantees from the financial professional and the firm that they would take a conservative investment approach. Client also alleges she was fraudulently listed as an aggressive investor in order to justify the purchase of medium to high-risk investments and that client suffered losses in excess of $500,000 due to this conduct.