Reg BI

There are Recent Customer Complaints with Broker Robert Macnamee in Firm Aegis Capital Corp.

February 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Macnamee (Macnamee), previously associated with Aegis Capital Corp., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Macnamee 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 $190,873.62 on April 26, 2021.

Time frame: December 2012 – November 2020. Claimants allege unsuitable investment recommendations.

Broker Michael Farrell in Aegis Capital Corp. Firm Has Customer Complaint

February 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Farrell (Farrell), previously associated with Aegis Capital Corp., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Farrell 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 $190,873.62 on April 26, 2021.

Time frame: December 2012 – November 2020. Claimants allege unsuitable investment recommendations.

Broker Marc Livernois in Cuna Brokerage Services, INC. Firm Has Customer Complaint

February 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Marc Livernois (Livernois), previously associated with Cuna Brokerage Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Livernois 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 $6,979.26 on April 26, 2021.

Client is requesting interest to be paid on an annuity that was previously held and purchased on 6/26/2020. Source of funding to purchase the annuity was from non-qualified money. The account in which the annuity was held was qualified. CMFG Life Insurance Company waived the 10% early withdrawal fee based on this error and returned the clients funds-which were then moved into a non-qualified joint account. \<char_lb_r>\, \<char_lb_r>\, FCM determined interest should have been paid for the time period the fixed product was held through CMFG. Purchase amount was $354,837.71 at a yearly rate of 2.45%. Annuity was held for a total of 293 days which equals $6979.26 of interest owed to the client.

Broker Ernest Green in J.P. Morgan Securities LLC Firm Has Customer Complaint

February 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ernest Green (Green), previously associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Green 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 April 26, 2021.

Customer alleges suitability and misrepresentation in the recommendation of an Offshore Variable Annuity with activity date of 1/29/2004.

Broker Thomas Niemczyk in D. Boral Capital Firm Has Customer Complaint

February 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Niemczyk (Niemczyk), currently associated with D. Boral Capital, has at least one disclosable event. These events include one customer complaint, alleging that Niemczyk 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 $95,027.44 on April 26, 2021.

Time frame: December 2012 – November 2020. Claimant alleges unsuitable investment recommendations.

Broker Gerald Sharpe in Aegis Capital Corp. Firm Has Customer Complaint

February 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gerald Sharpe (Sharpe), currently associated with Aegis Capital Corp., has at least one disclosable event. These events include one customer complaint, alleging that Sharpe 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 $283,716.78 on April 26, 2021.

Timeframe: December 2012 – November 2020. Claimants allege unsuitable investment recommendations.

There are Recent Customer Complaints with Broker Angela Denham in Firm Wells Fargo Clearing Services, LLC

February 20, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint with a damage request of $50,000.00 on April 23, 2021.

Customer alleges that the purchases of two investments made approximately seven years ago were not suitable. Activity Period: 6/2014 – 4/2021

Broker Brian Rockowitz in Madison Global Partners LLC Firm Has Customer Complaint

February 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Rockowitz (Rockowitz), currently associated with Madison Global Partners LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Rockowitz 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 $106,882.07 on April 26, 2021.

Time frame: December 2012 – November 2020. Claimant(s) allege unsuitable investment recommendations

Broker Daniel Sopher in LPL Financial LLC Firm Has Customer Complaint

February 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Sopher (Sopher), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Sopher 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 $73,000.00 on April 26, 2021.

Claimant alleges negligence, breach of fiduciary duty, and failure to supervise.

There are Recent Customer Complaints with Broker Juan Perez in Firm UBS Financial Services INC.

February 20, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on April 24, 2021.

Time frame: Unspecified Allegations: Claimants allege their investments in Puerto Rico closed-end funds and municipal bonds were unsuitable, over-concentrated, and misrepresented as safe investments.