Reg BI

There are Recent Customer Complaints with Broker John Roberts in Firm Benchmark Investments, INC.

May 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Roberts (Roberts), previously associated with Benchmark Investments, INC., has at least one disclosable event. These events include one customer complaint, alleging that Roberts 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 $8,100.00 on May 26, 2020.

Unsuitable Investments.

Broker William Morrow in Concorde Investment Services, LLC Firm Has Customer Complaint

May 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Morrow (Morrow), currently associated with Concorde Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Morrow 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 May 27, 2020.

Statement of claim alleges that investments were high risk and not in line with their stated objectives and risk tolerance.

There are Recent Customer Complaints with Broker Frederick Schiller in Firm Morgan Stanley

May 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Frederick Schiller (Schiller), previously associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Schiller 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 $250,000.00 on May 28, 2020.

Claimants allege, inter alia, unsuitability with respect to Puerto Rico municipal bonds investment – May 2012 to May 2020

There are Recent Customer Complaints with Broker Barry Abrams in Firm Ameriprise Financial Services, INC.

May 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Barry Abrams (Abrams), previously associated with Ameriprise Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Abrams 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 $20,000.00 on June 01, 2020.

Claimant alleges respondent recommended unsuitable investments in FS Energy and Power and Corporate Capital Trust for his children’s college savings. His causes of action are negligence, breach of fiduciary duty, failure to supervise, breach of contract, misrepresentation, and violations of FINRA’s conduct rules.

There are Recent Customer Complaints with Broker Jonathan Weinberg in Firm PHX Financial, INC.

May 3, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jonathan Weinberg (Weinberg), previously associated with PHX Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Weinberg 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 $650,000.00 on June 02, 2020.

Unsuitable investments

Broker Robert Kirwan in Fidelity Brokerage Services LLC Firm Has Customer Complaint

May 3, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Kirwan (Kirwan), currently associated with Fidelity Brokerage Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kirwan 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 $63,781.11 on June 05, 2020.

Customer alleged that the registered representative did not follow his instructions to liquidate his account.

There are Recent Customer Complaints with Broker Athishay Gangadharan in Firm Kestra Investment Services, LLC

May 3, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on June 03, 2020.

The client alleges that during a meeting with the representative on or around February 21, 2020 she advised the representative that she wanted to move her investments to safety because of the spreading news\<char_lb_r>\, related to the Corona virus. The client claims that the representative ignored her instructions and invested the client’s cash and that she has suffered financial losses as a result.

There are Recent Customer Complaints with Broker Royce Running in Firm Centaurus Financial, INC.

May 3, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on June 05, 2020.

During the period November 2013 through May 2020, the customer alleges that the Registered Representative recommended unsuitable and illiquid investments.

Broker Adam Rogers in UBS Financial Services INC. Firm Has Customer Complaint

May 3, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a award / judgment customer complaint with a damage request of $1,137,640.00 on June 05, 2020.

Rogers was a subject of the customer’s complaint against his member firm that asserted the following causes of action: breach of contract and warranties; promissory estoppel; unfair trade and deceptive practices; abuse, neglect, and exploitation of elderly persons and disabled adults; violation of Maryland and Rhode Island fraud statutes; negligence and gross negligence; misrepresentation and negligent misrepresentation; breach of fiduciary duty; and unjust enrichment.

Broker Jason Pence in Charles Schwab & Co., INC. Firm Has Customer Complaint

May 3, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jason Pence (Pence), currently associated with Charles Schwab & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Pence 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 $11,471.49 on June 03, 2020.

Client alleges trades placed on May 15, 2020 were unauthorized.