Articles Posted in Reg BI

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Benjamin Silberman (Silberman), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Silberman 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 $60,000.00 on June 25, 2025.

Claimant alleges that she sustained losses because Respondent “twisted” annuity products without sufficient explanation.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Ptacek (Ptacek), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Ptacek 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 June 24, 2025.

Customer alleges that an investment made in 2018 was unsuitable for the customer’s investment objectives and risk tolerance.

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

FINRA BrokerCheck shows a pending customer complaint on June 26, 2025.

Time frame: May 2023. Client alleges poor recommendation, poor advice.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Ciraco (Ciraco), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Ciraco 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 $450,000.00 on June 26, 2025.

Customer alleges poor advice and unsuitable recommendation regarding 529 and margin accounts. Activity dates 2015 to January 2025.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kyle Friedrich (Friedrich), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Friedrich 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 $112,000.00 on July 09, 2025.

Client alleges that financial advisor stole $112,000 from her account.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Adam Srmek (Srmek), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Srmek 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 $32,000.00 on June 27, 2025.

Client alleged that his former advisors liquidated assets in 2024, without the client’s authorization, for the purpose of purchasing an annuity. In addition, the client alleged that the tax ramifications of the liquidating trades in question generated $153,315.13 in capital gains ($104,126.91 long-term and $49,188.22 short-term) which were not disclosed.

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

FINRA BrokerCheck shows a pending customer complaint on July 02, 2025.

Claimant alleges that in March 2024; the FA made an unsuitable purchase of an annuity.

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

FINRA BrokerCheck shows a pending customer complaint on June 27, 2025.

Claimant alleges, inter alia, unsuitable investment recommendations and violations of Reg BI with respect to securities-backed line of credit strategy 2014 -2024

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

FINRA BrokerCheck shows a pending customer complaint on June 27, 2025.

Trustee alleges that the financial professional provided inaccurate advice regarding disbursement of funds from the trust causing additional tax liabilities.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ryan Messenger (Messenger), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Messenger 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 $20,000.00 on July 01, 2025.

Client alleges that Financial Advisor illegally transferred $20,000 from his 401k into the FA’s personal account.

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