Reg BI

There are Recent Customer Complaints with Broker Hector Hernandez in Firm Peak Brokerage Services, LLC

August 11, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint on November 20, 2023.

Without admitting or denying the findings, Hernandez consented to the sanction and to the entry of findings that he refused to appear for on-the-record testimony requested by FINRA in connection with its investigation into his potential failure to disclose an OBA while he was associated with his member firm.

There are Recent Customer Complaints with Broker Eduardo Sotomayor Alamo in Firm Pariter Securities, LLC

August 11, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eduardo Sotomayor Alamo (Sotomayor Alamo), currently associated with Pariter Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Sotomayor Alamo 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 $250,000.00 on November 27, 2023.

Claimant claims breach of fiduciary duty, breach of contract, failure to diversify, failure to supervise.

There are Recent Customer Complaints with Broker Albert Aizin in Firm Fsc Securities Corporation

August 11, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Albert Aizin (Aizin), previously associated with Fsc Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Aizin 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 $100,000.00 on November 28, 2023.

The Claimant alleges that the financial professtional sold him an alternative investment that was unsuitable.

Broker Jeffrey Paladini in Arkadios Capital Firm Has Customer Complaint

August 11, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Paladini (Paladini), previously associated with Arkadios Capital, has at least one disclosable event. These events include one customer complaint, alleging that Paladini 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 $50,000.00 on November 28, 2023.

Claimant alleges a direct investment recommended to her was not in keeping with her needs and objectives, and was not fully explained to her.

There are Recent Customer Complaints with Broker Dana Pelkey in Firm LPL Enterprise, LLC

August 11, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dana Pelkey (Pelkey), currently associated with LPL Enterprise, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Pelkey 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 $35,415.13 on November 27, 2023.

Customer alleges that the rep quoted an incorrect premium when the policy was sold, which caused the policy to lapse.

Broker Salvatore Gambino in Aegis Capital Corp. Firm Has Customer Complaint

August 11, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Salvatore Gambino (Gambino), previously associated with Aegis Capital Corp., has at least one disclosable event. These events include one regulatory event, alleging that Gambino recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on October 27, 2023.

Without admitting or denying the findings, Gambino consented to the sanctions and to the entry of findings that he made unsuitable recommendations in speculative alternative investments to three firm customers that were inconsistent with the customers’ investment profiles. The findings stated that Gambino’s recommendations to purchase Automotive Portfolio limited partnership interests to the customers were unsuitable for the customers based on their age, income, net worth, risk tolerance, status as an unaccredited investor, and because Gambino’s recommendation to one of the customers resulted in the over-concentration of his liquid net worth in alternative investments.

Broker James Pepperman in J. Alden Associates, INC. Firm Has Customer Complaint

August 11, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Pepperman (Pepperman), currently associated with J. Alden Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Pepperman 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 $644,610.00 on November 27, 2023.

James Pepperman was the registered representative for the plaintiff to where the client invested in a private fund. This fund invested a portion of its assets into another private fund in which the portfolio manager was charged by the Securities and Exchange Commission with defrauding investors and who pled guilty to securities fraud and was sentensed to 109 months in prison and ordered to pay $47.2 million in restitution. The senencing date was January 20, 2022.

Broker Matthew Kutcher in Wells Fargo Clearing Services, LLC Firm Has Customer Complaint

August 11, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on November 27, 2023.

Claimants allege that during an unspecified period of time unsuitable investments were made.

There are Recent Customer Complaints with Broker William Hutchingson in Firm Cetera Investment Services LLC

August 11, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Hutchingson (Hutchingson), currently associated with Cetera Investment Services LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Hutchingson 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 November 27, 2023.

Claimant alleged the investment’s risks were misrepresented.

Broker Robert Silvestri in Aegis Capital Corp. Firm Has Customer Complaint

August 11, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Silvestri (Silvestri), previously associated with Aegis Capital Corp., has at least one disclosable event. These events include one regulatory event, alleging that Silvestri recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on November 21, 2023.

Without admitting or denying the findings, Silvestri consented to the sanction and to the entry of findings that he refused to appear for on-the-record testimony requested by FINRA in connection to its investigation into whether he borrowed funds from a customer.