Reg BI

There are Recent Customer Complaints with Broker Darren Dawson in Firm Truist Investment Services, INC.

June 26, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Darren Dawson (Dawson), currently associated with Truist Investment Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Dawson 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 $8,000.00 on May 05, 2026.

Client alleges that his T-Bill investments were not being automatically invested by the representative.

There are Recent Customer Complaints with Broker Lori Kamen in Firm Republic Capital Group / Aurora Securities

June 26, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lori Kamen (Kamen), currently associated with Republic Capital Group / Aurora Securities, has at least 4 disclosable events. These events include 4 customer complaints, alleging that Kamen 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 $221,842.08 on May 05, 2026.

Customer alleges that Aurora Securities and its supervisory personnel failed to adequately supervise and perform due diligence regarding their DST investments.

There are Recent Customer Complaints with Broker Robert Binkele in Firm Ashton Stewart & Co., INC.

June 26, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Binkele (Binkele), currently associated with Ashton Stewart & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Binkele 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 $2,500,000.00 on May 04, 2026.

In the financial industry advisors must meet the requirements of the SEC’s Regulation Best Interest (Reg BI) in providing investment advice and services. Reg BI established a ‘best interest’ standard for brokerage firms and registered representatives. Reg BI applies when brokers recommend a retail investor engage in securities transaction or an investment strategy involving one or more securities. Reg BI also applies to financial advice concerning the transfer of funds and opening of accounts. Reg BI applies when brokers recommend a retail investor engage in securities transaction or an investment strategy involving one or more securities. Reg BI also applies to financial advice concerning the transfer of funds and opening of accounts.

Broker Lisa Corrado in Morgan Stanley Firm Has Customer Complaint

June 26, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on May 05, 2026.

Client alleges, inter alia, that fa’s recommendation to exchange annuity was not in her best’s interests 2025

Broker Kirt Carstens in Creativeone Securities, LLC Firm Has Customer Complaint

June 26, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kirt Carstens (Carstens), currently associated with Creativeone Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Carstens 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 $379,426.40 on May 01, 2026.

The client alleges that the representative recommended a highly concentrated investment in a security product despite the client having no prior investment knowledge or experience. Additionally, the client alleges a lack of communication from the representative, false disclosure of information, and misleading advertising regarding his services.

Broker Michael Whitaker in Newbridge Securities Corporation Firm Has Customer Complaint

June 26, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Whitaker (Whitaker), currently associated with Newbridge Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Whitaker 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 $95,000.00 on May 01, 2026.

Breach of fiduciary duty, negligence and reg bi

There are Recent Customer Complaints with Broker William Carlton in Firm Aegis Capital Corp.

June 26, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Carlton (Carlton), currently associated with Aegis Capital Corp., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Carlton 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 $220,000.00 on April 30, 2026.

Time frame: October 2024 to present. Claimant alleges unsuitable investments, breach of fiduciary duty, and negligence.

Broker Andrew Owens in Edward Jones Firm Has Customer Complaint

June 26, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andrew Owens (Owens), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Owens 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 $39,000.00 on May 04, 2026.

Client alleges the FA misrepresented the taxes on the liquidation of a variable annuity and a life insurance policy.

Broker Olivier Marcelin in Tiaa-cref Individual & Institutional Services, LLC Firm Has Customer Complaint

June 25, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Olivier Marcelin (Marcelin), previously associated with Tiaa-cref Individual & Institutional Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Marcelin 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 14, 2026.

Client alleges RR made misrepresentations in connection with a VUL policy purchased in 2023.

There are Recent Customer Complaints with Broker Hector Vargas Forero in Firm J.P. Morgan Securities LLC

June 25, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Hector Vargas Forero (Vargas Forero), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Vargas Forero 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 $130,000.00 on May 08, 2026.

Claimant alleges misrepresentation and unsuitable investment recommendation. December 2021 – December 2024.