Reg BI

There are Recent Customer Complaints with Broker Daniel Sherman in Firm Morgan Stanley

February 22, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Sherman (Sherman), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Sherman 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 $259,743.41 on April 09, 2021.

Claimant alleges, inter alia, unsuitability with respect to investment and management of account \\u00e2?” October, 2006 to May, 2020

Broker Michael Dellaporta in B.b. Graham & Company, INC. Firm Has Customer Complaint

February 22, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Dellaporta (Dellaporta), previously associated with B.b. Graham & Company, INC., has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Dellaporta recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on April 14, 2021.

Without admitting or denying the findings, Dellaporta consented to the sanction and to the entry of findings that he refused to produce information and documents requested by FINRA in connection with its investigation into Dellaporta’s involvement in an outside business activity.

There are Recent Customer Complaints with Broker Morton Tinkelman in Firm Oppenheimer & CO. INC.

February 22, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Morton Tinkelman (Tinkelman), currently associated with Oppenheimer & CO. INC., has at least one disclosable event. These events include one customer complaint, alleging that Tinkelman 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 $55,245.00 on April 12, 2021.

Failure to follow instructions

There are Recent Customer Complaints with Broker Matthew Pyatt in Firm Edward Jones

February 21, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Pyatt (Pyatt), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Pyatt 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 $17,640.00 on April 22, 2021.

The client alleges that the financial advisor told her she had to sell her John Hancock annuity in August of 2020.

Broker Connor Furlan in Charles Schwab & Co., INC. Firm Has Customer Complaint

February 21, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Connor Furlan (Furlan), previously associated with Charles Schwab & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Furlan 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 $126,406.00 on April 21, 2021.

Client alleges representative did not follow instructions provided on January 6, 2020 and October 14, 2020 to process a 1035 exchange of an annuity. Instead, the annuity was liquidated and the cash proceeds were deposited to the client’s brokerage account, resulting in a tax liability of $126,406.

There are Recent Customer Complaints with Broker Jiaqi Chen in Firm Cetera Investment Services LLC

February 21, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jiaqi Chen (Chen), currently associated with Cetera Investment Services 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 settled customer complaint with a damage request of $221,000.00 on April 22, 2021.

Claimant alleges that their registered representative recommended unsuitable investment.

Broker Richard Minichino in Next Financial Group, INC. Firm Has Customer Complaint

February 21, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Minichino (Minichino), previously associated with Next Financial Group, INC., has at least one disclosable event. These events include one customer complaint, alleging that Minichino 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 $120,000.00 on April 20, 2021.

Claimants allege Mr. Minichino gave unsuitable recommendations and breached his fiduciary duty and that the Firm failed to supervise. The clients collectively had 4 accounts with the Firm and with Mr. Minichino as the Rep on all of them between October 2014 (and December 2014) until early 2016.

Broker George Kastanis in Securities America, INC. Firm Has Customer Complaint

February 21, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker George Kastanis (Kastanis), previously associated with Securities America, INC., has at least one disclosable event. These events include one customer complaint, alleging that Kastanis 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 $150,000.00 on April 14, 2021.

Claimant alleges that the registered representative made unsuitable recommendations.

Broker Bruce Hoover in the Huntington Investment Company Firm Has Customer Complaint

February 21, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bruce Hoover (Hoover), currently associated with the Huntington Investment Company, has at least one disclosable event. These events include one customer complaint, alleging that Hoover 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 $20,000.00 on April 16, 2021.

Claimant alleges unsuitability of sale of alternative investment that caused financial harm. The allegations include negligence, professional negligence, violations of law and breach of rules and regulations.

Broker Ricky Campbell in PFS Investments INC. Firm Has Customer Complaint

February 21, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ricky Campbell (Campbell), previously associated with PFS Investments INC., has at least one disclosable event. These events include one customer complaint, alleging that Campbell 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 $100,000.00 on April 20, 2021.

Customer alleges i made unsuitable recommendations with respect to subaccount allocations within a variable annuity.