Articles Posted in Reg BI

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Victor Torres (Torres), previously associated with Equitable Advisors, LLC, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Torres 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 26, 2026.

Clients allege unsuitability and misrepresentation by the RR in connection with two VUL policies purchased in 2022.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Donna Timmerman (Timmerman), currently associated with Equitable Advisors, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Timmerman 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 June 08, 2026.

Client alleges unsuitability and misrepresentation by the RR in connection with REIT purchased in 2017. Appeal received alleging the RR presented an incomplete application to the client for signature which was subsequently completed by the RR with inaccurate information.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Nelson (Nelson), currently associated with Emerson Equity LLC, has at least 4 disclosable events. These events include 4 customer complaints, alleging that Nelson 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 $400,000.00  on May 18, 2026.

Breach of written contract, breach of fiduciary duty, negligence and gross negligence, misrepresentations and omissions, violation of FINRA rules, violation of the Virginia and Wisconsin Securities Acts and federal securities laws and violation of Best Interest Obligations (Reg BI) traded placed in or around March 2022 for $150,000.00

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Boggess (Boggess), currently associated with Quincy Wells Capital, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Boggess 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 $1,738,509.00  on June 03, 2026.

Violation of federal securities laws, violation of Washington securities act, violation of Washington’s consumer protection act, violation of California securities laws, unfair, unlawful and fraudulent business practices, breach of contract, common law fraud, breach of fiduciary duty, negligence and gross negligence.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Martin Jankowski (Jankowski), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Jankowski 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 $265,000.00  on May 23, 2026.

Customer alleges unsuitable investment recommendation regarding managed account. Activity dates 7/8/2016 – 7/8/2016

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Don Linzer (Linzer), previously associated with Great Point Capital LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Linzer 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 $1,025,295.00  on May 28, 2026.

Negligence, Misrepresentation and Omissions of Material Facts, breach of fiduciary duty, failure to supervise, violation of Reg BI, unsuitable and material misleading recommendations.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eric Kleiner (Kleiner), previously associated with Morgan Stanley, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Kleiner 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 $246,000.00  on June 01, 2026.

Claimant alleged, inter alia, FA recommended outside investment not authorized by the firm – Oct 2020 to March 2025.

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

FINRA BrokerCheck shows a pending customer complaint on May 27, 2026.

Claimants allege unsuitable investments, breach of fiduciary duty and violation of Regulation Best Interest.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Peter Po (Po), currently associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Po 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 $229,600.00  on May 26, 2026.

Claims breach of contract, breach of fiduciary duty, negligence, etc. For purchase of three products during 2017, 2023, and 2024. One of the issuers recently declared bankruptcy, and one issuer ceased paying income.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gregory Berg (Berg), previously associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Berg 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 $275,000.00  on June 08, 2026.

Client alleges omission of material facts concerning a variable annuity purchased in February 2007.

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