Reg BI

There are Recent Customer Complaints with Broker Christopher Watts in Firm Maplewood Investments, INC.

May 4, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on May 27, 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 standard applies when brokers make recommendations to retail customer for any securities transaction or investment strategy involving securities, including recommendations of types of accounts. 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.

Broker Michael Turner in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

May 4, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on May 27, 2020.

The customer alleges misrepresentations and failure to follow instructions from May 2019 through May 2020.

There are Recent Customer Complaints with Broker Craig Guinta in Firm Ameriprise Financial Services, LLC

May 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Craig Guinta (Guinta), previously associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Guinta 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 $49,999.99 on June 01, 2020.

Client through attorney, alleges breach of fiduciary duty, misrepresentation and unsuitable investment recommendations by RR from August 2012 through October 2016.

There are Recent Customer Complaints with Broker Joseph Depasquale in Firm American Capital Partners, LLC

May 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Depasquale (Depasquale), currently associated with American Capital Partners, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Depasquale 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 $170,000.00 on May 26, 2020.

In the financial industry advisors must meet the requirements of the SEC’s Regulation Best Interest (Reg BI) in providing investment advice and services. Reg BI established a ‘best interest’ standard for brokerage firms and registered representatives. Reg BI applies when brokers recommend a retail investor engage in securities transaction or an investment strategy involving one or more securities. Reg BI also applies to financial advice concerning the transfer of funds and opening of accounts. Reg BI applies when brokers recommend a retail investor engage in securities transaction or an investment strategy involving one or more securities. Reg BI also applies to financial advice concerning the transfer of funds and opening of accounts.

There are Recent Customer Complaints with Broker Juan Gonzalez Rivera in Firm Oriental Financial Services LLC

May 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Juan Gonzalez Rivera (Gonzalez Rivera), currently associated with Oriental Financial Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Gonzalez Rivera 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 $160,000.00 on May 26, 2020.

Period nov 2013.alleges concentration in puerto rico , misrepresentation risk, unsuitable.

Broker Juan Colon Perea in Popular Securities, LLC Firm Has Customer Complaint

May 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Juan Colon Perea (Colon Perea), currently associated with Popular Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Colon Perea 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 27, 2020.

Customer contacted the Financial Consultant (“FC”) on January 15, 2020 to place a sell order of the X2 Alternative Dividend Alpha FD A. However, the FC did not place the order until April 30, 2020. Consequently, customer claimed that this action adversely impacted its financial results and represented a material loss of approximately $200,000.00.

There are Recent Customer Complaints with Broker Marc Menton in Firm Oppenheimer & CO. INC.

May 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Marc Menton (Menton), previously associated with Oppenheimer & CO. INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Menton 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 $485,000.00 on May 26, 2020.

Claimant alleges claims for Fraudulent Misrepresentation, Fraudulent Concealment, Negligent Misrepresentation, Negligent Concealment, Negligence, Unsuitability, Breach of Fiduciary Duty, Breach of Contract, Breach of the Implied Covenant of Good Faith and Fair Dealing, Elder Abuse. From 1/1/2010 to 12/31/2019.

Broker William Randall in Cambridge Investment Research, INC. Firm Has Customer Complaint

May 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Randall (Randall), currently associated with Cambridge Investment Research, INC., has at least one disclosable event. These events include one customer complaint, alleging that Randall 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 June 01, 2020.

Claimants allege they desired to purchased low-risk investments, but were encouraged to invest in two unsuitable investments, which caused them to sustain damages under theories of breach of fiduciary duty and breach of contract.

Broker Edgar Mock in Trustmont Financial Group, INC. Firm Has Customer Complaint

May 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Edgar Mock (Mock), currently associated with Trustmont Financial Group, INC., has at least one disclosable event. These events include one customer complaint, alleging that Mock 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 $375,717.00 on June 02, 2020.

2012- June 2017, alleged unsuitable securities, common law fraud, breach of fiduciary duty, unjust enrichment, the failure to supervise, and violation of the Pennsylvania Unfair Trade Practices and Consumer Protection Law

There are Recent Customer Complaints with Broker Michael Ryan in Firm Valic Financial Advisors, INC.

May 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Ryan (Ryan), currently associated with Valic Financial Advisors, INC., has at least one disclosable event. These events include one customer complaint, alleging that Ryan 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 $50,000.00 on June 01, 2020.

Client did not take his annual annuity withdrawal after his registered representative allegedly advised him that the withdrawal could be deferred and is claiming a loss of $50,000.