Reg BI

Broker Elaine Zito in Newbridge Securities Corporation Firm Has Customer Complaint

February 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Elaine Zito (Zito), previously associated with Newbridge Securities Corporation, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Zito 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 April 18, 2024.

BREACH OF FIDUCIARY DUTY, NEGLIGENCE.

There are Recent Customer Complaints with Broker Kimberly Keller in Firm LPL Financial LLC

February 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kimberly Keller (Keller), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Keller 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 $297,000.00 on December 15, 2023.

Client alleges that representative misappropriated the funds in her account between July 2012 and May 2016.

Broker Brian Hinson in LPL Financial LLC Firm Has Customer Complaint

February 8, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on February 16, 2024.

This arbitration appears to be a complaint filed by multiple unrelated Claimants against Lincoln relative to the prior purchase of certain private investment funds. I formerly served as the Lincoln representative for one of the multiple Claimants. The allegations appear to concern Lincoln Financial Advisors’ marketing and due diligence processes. I was never served. I do not appear to be a named Respondent. There is no specific claim for damages against me.

There are Recent Customer Complaints with Broker Adam Ezrilov in Firm LPL Financial LLC

February 8, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint on December 24, 2024.

Without admitting or denying the findings, Ezrilov consented to the sanction and to the entry of findings that he failed to appear for on-the-record testimony requested by FINRA in connection to its investigation of allegations made on a Form U6 submitted by his member firm. The findings stated that Ezrilov was discharged from his firm for submitting succession plan documents to the firm containing a non-genuine signature.

Broker Deborah Detray in LPL Financial LLC Firm Has Customer Complaint

February 8, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint on November 07, 2023.

MS. DeTray is alleged to have operated as a securities dealer without a license by selling securities in Ohio that were not properly registered with the Ohio Department of Commerce.

Broker Steven Goldman in UBS Financial Services Inc. Firm Has Customer Complaint

February 8, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint on April 09, 2024.

The Department, based upon an investigation of the Respondent’s activities in this state, alleges that the Respondent has not complied with continuing education requirements mandated by Section 626.2815, Florida Statutes, and Rule 69B-228.220, Florida Administrative Code, for the compliance period ending February 29, 2024.

There are Recent Customer Complaints with Broker Craig Bonn in Firm Harley Capital LLC

February 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Craig Bonn (Bonn), currently associated with Harley Capital LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bonn 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 $500,000.00 on January 18, 2024.

Client alleges sales practice violations against the broker. Broker is not a named defendent

Broker Thomas Mcdevitt in Ameriprise Financial Services, Inc. Firm Has Customer Complaint

February 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Mcdevitt (Mcdevitt), previously associated with Ameriprise Financial Services, Inc., has at least one disclosable event. These events include one tax lien, alleging that Mcdevitt 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, 2023.

Respondent McDevitt failed to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA request to provide information concerning the status of compliance.

There are Recent Customer Complaints with Broker Antonio Bauza in Firm Stonecrest Capital Markets, Inc.

February 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Antonio Bauza (Bauza), currently associated with Stonecrest Capital Markets, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Bauza 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 $350,000.00 on September 22, 2023.

Time frame: September 2015 – February 2017. Claimant alleges unsuitable investments and, breach of fiduciary duty.

There are Recent Customer Complaints with Broker Russell Rabito in Firm UBS Financial Services Inc.

February 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Russell Rabito (Rabito), currently associated with UBS Financial Services Inc., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Rabito recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on July 15, 2023.

Time frame: Late 2017-2019, Allegations: Claimants allege unsuitability and misrepresentation with respect to recommendations to invest in and hold an options overlay strategy.