Reg BI

There are Recent Customer Complaints with Broker Todd Cohen in Firm Aegis Capital Corp.

August 19, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Todd Cohen (Cohen), currently associated with Aegis Capital Corp., has at least one disclosable event. These events include one customer complaint, alleging that Cohen 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 $200,000.00 on May 20, 2026.

Time frame: unspecified. Claimant alleges unsuitable recommendation, breach of fiduciary duty, and misrepresentation.

There are Recent Customer Complaints with Broker Susan Barber in Firm Equitable Advisors, LLC

August 19, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Susan Barber (Barber), currently associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Barber 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 $5,000.00 on May 26, 2026.

Client alleges unsuitability and misrepresentation by the RR in connection with an annuity purchased in 2024.

Broker Matt Ward in A.g.p. / Alliance Global Partners Firm Has Customer Complaint

August 19, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matt Ward (Ward), currently associated with A.g.p. / Alliance Global Partners, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Ward 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 $499,999.00 on May 22, 2026.

Breach of fiduciary duty

There are Recent Customer Complaints with Broker David Abercrombie in Firm LPL Financial LLC

August 19, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on May 22, 2026.

Customer requesting review of annuity purchases for best interest considerations.

There are Recent Customer Complaints with Broker David Waal in Firm Emerson Equity LLC

August 19, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Waal (Waal), currently associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Waal 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 $1,100,000.00 on May 19, 2026.

Compensatory Damages, breach of written contract pursuant to customer agreements, breach of fiduciary duty, negligence and gross negligence, misrepresentations and omissions, violation of FINRA rules, violation of the state Securities Act and federal securities laws, violation of Regulation Best Interest obligations (Reg BI).\\tInvestment purchased 02/2023\\t\\t\\t\\t\\t\\t\\t\\t\\t\\t\\t\\t\\t\\t\\t\,

There are Recent Customer Complaints with Broker Patrick Miller in Firm Nylife Securities LLC

August 19, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on May 21, 2026.

The customer alleges that the Variable Annuity policy he purchased in September 2025 was not fully understood including the applicable surrender charges.

There are Recent Customer Complaints with Broker Mohammad Ali in Firm J.P. Morgan Securities LLC

August 18, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mohammad Ali (Ali), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Ali 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 $229,650.00 on June 05, 2026.

Claimant alleges unauthorized trading regarding equity investment. Activity dates 10/28/25 \\u2013 5/14/26.

There are Recent Customer Complaints with Broker Kevin Wright in Firm Rockefeller Financial LLC

August 18, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Wright (Wright), currently associated with Rockefeller Financial LLC, has at least one disclosable event. These events include one customer complaint, 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 $1,000,000.00 on June 05, 2026.

Customer alleges Rockefeller, through its agents recommended certain alternatives investments that were not consistent with customer’s investment profile.

Broker Fred Chen in Emerson Equity LLC Firm Has Customer Complaint

August 18, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Fred Chen (Chen), previously associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Chen 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 May 28, 2026.

Compensatory damages, breach of written contract, breach of fiduciary duty, negligence and gross negligence, misrepresentations and omissions, violation of FINRA rules, violation of California Securities Act and federal securities laws, violation of Regulation Best Interest. Investments placed between 2021 and 2025

Broker Slayton Harpe in Edward Jones Firm Has Customer Complaint

August 18, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Slayton Harpe (Harpe), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Harpe 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 $5,000.00 on June 09, 2026.

The client alleges the advisor recommended switching and consolidating annuities without fully disclosing the impact of early withdrawal/surrender fees.