Reg BI

There are Recent Customer Complaints with Broker Sanjay Chandra in Firm Tpeg Securities, LLC

May 6, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sanjay Chandra (Chandra), currently associated with Tpeg Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Chandra 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 $265,000.00 on May 15, 2020.

Financial Advisors providing advice to retail investors are required to adhere to the SEC’s Regulation Best Interest (Reg BI). Reg BI applies a ‘best interest’ standard for broker-dealers and their associated people. This Reg BI standard of care applies to registered representatives making recommendations to customers in the purchase, sale, or exchange of securities or the implementation of investment strategies involving securities and non-securities. The rule also applies to the handling of opening accounts such as account transfers and types of accounts being recommended to be opened. This standard applies when brokers make recommendations to retail customer for any securities transaction or investment strategy involving securities, including recommendations of types of accounts.

There are Recent Customer Complaints with Broker Dustin Terry in Firm Great Point Capital LLC

May 6, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dustin Terry (Terry), previously associated with Great Point Capital LLC, has at least one disclosable event. These events include one customer complaint, alleging that Terry 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 $250,000.00 on May 19, 2020.

Unsuitable, illiquid products

Broker Edwin Egger in LPL Financial LLC Firm Has Customer Complaint

May 6, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on May 16, 2020.

Customer alleged that investment in etf’s was based on inaccurate and misleading information, that losses of over $18,000 had resulted, and requested reimbursement. Activity period – 11/15/19 to 4/6/20.

Broker Ralph Principe in Aegis Capital Corp. Firm Has Customer Complaint

May 6, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ralph Principe (Principe), previously associated with Aegis Capital Corp., has at least one disclosable event. These events include one customer complaint, alleging that Principe 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 May 18, 2020.

Time Frame: 2013-2015. Allegations include unsuitable use of margin and poor performance.

There are Recent Customer Complaints with Broker Dennis Rife in Firm Osaic Wealth, INC.

May 6, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dennis Rife (Rife), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Rife 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 $100,001.00 on May 19, 2020.

The claimant alleges that recommendations to purchase two investments in his ira account were not in keeping with his needs and objectives.

There are Recent Customer Complaints with Broker Timothy Kissling in Firm Madison Avenue Securities, LLC

May 6, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Timothy Kissling (Kissling), previously associated with Madison Avenue Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kissling 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 $175,000.00 on May 18, 2020.

Claimants allege failure to conduct Due Diligence on several points, unsuitable recommendation, over concentration, misrepresentations and omissions in violation of FINRA regulations in the sale of alternative investments in 2012.

There are Recent Customer Complaints with Broker William Baumner in Firm Tradespot Markets INC.

May 6, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Baumner (Baumner), previously associated with Tradespot Markets INC., has at least 3 disclosable events. These events include 3 customer complaints, alleging that Baumner 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 $67,000.00 on May 18, 2020.

Unsuitable investment recommendations, breach of regulatory requirements, breach of fiduciary duty, breach of contract,negligence and gross negligence

Broker Harold Cho in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

May 6, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Harold Cho (Cho), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Cho recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on May 15, 2020.

The customer alleges unauthorized trading from March 11, 2020 until March 26, 2020.

Broker Joseph Kolina in Bbva Securities INC. Firm Has Customer Complaint

May 6, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Kolina (Kolina), previously associated with Bbva Securities INC., has at least one disclosable event. These events include one customer complaint, alleging that Kolina 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 $200,000.00 on May 15, 2020.

Customer purchased several variable and fixed annuities beginning in May, 2015. Customer claims that annuities are unsuitable due to her investment time horizon and liquidity needs.

There are Recent Customer Complaints with Broker Russell Ogan in Firm Oppenheimer & CO. INC.

May 6, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Russell Ogan (Ogan), currently associated with Oppenheimer & CO. INC., has at least one disclosable event. These events include one customer complaint, alleging that Ogan 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 $40,000.00 on May 14, 2020.

Claimant alleges unauthorized trading, negligence, breach of fiduciary duty and breach of contract in relation to the purchase of a UIT. From 1/22/2020 to 1/29/2020