Reg BI

There are Recent Customer Complaints with Broker Ross Perloe in Firm National Securities Corporation

February 18, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ross Perloe (Perloe), previously associated with National Securities Corporation, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Perloe 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 May 06, 2021.

Suitability

There are Recent Customer Complaints with Broker Lesley Atchley in Firm Osaic Wealth, INC.

February 18, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lesley Atchley (Atchley), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Atchley 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 $19,290.14 on May 07, 2021.

Customer alleges that financial professional did not disclose that exchanging prior annuity for a new annuity would result in a new surrender period.

Broker David Betz in UBS Financial Services INC. Firm Has Customer Complaint

February 18, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on May 04, 2021.

Time Frame: November 20, 2020 The authorized individual alleges a large amount of stock was\, liquidated without the full knowledge of her mother. The authorized individual further alleges her\, mother did not understand the tax implications of this transaction. The authorized individual finally\, alleges a failure to act in the best interest of the client and a breach of fiduciary duties. The\, alleged damages are estimated to be in excess of $5,000.00.

There are Recent Customer Complaints with Broker Jan Cummins in Firm Janney Montgomery Scott LLC

February 18, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on May 07, 2021.

Client alleged that he purchased a market-linked CD based on the misrepresentations of his Financial Advisor.

There are Recent Customer Complaints with Broker Terri Jones in Firm Merrill Lynch, Pierce, Fenner & Smith Incorporated

February 17, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on May 14, 2021.

The customer alleges a misrepresentation was made in May 2021.

There are Recent Customer Complaints with Broker Adam Kaplan in Firm Merrill Lynch, Pierce, Fenner & Smith Incorporated

February 17, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Adam Kaplan (Kaplan), previously associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Kaplan 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 $4,160.27 on May 12, 2021.

[redacted] placed a formal complaint with the sec that his adviser fees were in the 2.5-3% range with a signed agreement stating fees should be 1%

There are Recent Customer Complaints with Broker Daniel Kaplan in Firm Merrill Lynch, Pierce, Fenner & Smith Incorporated

February 17, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Kaplan (Kaplan), previously associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Kaplan 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 $4,160.27 on May 12, 2021.

[redacted] placed a formal complaint with the sec that his adviser fees were in the 2.5-3% range with a signed agreement stating fees should be 1%

There are Recent Customer Complaints with Broker Robert Armstrong in Firm Dawson James Securities, INC.

February 17, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Armstrong (Armstrong), previously associated with Dawson James Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Armstrong 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 $2,330,000.00 on May 12, 2021.

Customer claims that rep’s failure to sell shares of a sub NASDAQ security not held at rep’s clearing firm resulted in lost profits of approximately $2,000,000.00. This occurred, per the customer, during February 2021. UPDATE 8/31/22. Arbitration received by firm on 8/29/22. Customer alleges in statement of claim breach of fiduciary duty and neglicence in regards to unsold shares of HCMC.

There are Recent Customer Complaints with Broker Ryan Lurie in Firm UBS Financial Services INC.

February 17, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ryan Lurie (Lurie), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Lurie 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 $60,000.00 on May 13, 2021.

Claimant alleges respondent recommended unsuitable investments, misrepresented or omitted material information, and failed to supervise the advisor during the time period July 2018-September 2020.

There are Recent Customer Complaints with Broker Kyle Bruns in Firm Sa Stone Wealth Management INC.

February 17, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kyle Bruns (Bruns), previously associated with Sa Stone Wealth Management INC., has at least one disclosable event. These events include one customer complaint, alleging that Bruns 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 $15,000.00 on May 14, 2021.

Customer alleged that a reallocation into a managed account portfolio was done without her authorization