Reg BI

Broker Leonard Mcabee in National Securities Corporation Firm Has Customer Complaint

March 23, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Leonard Mcabee (Mcabee), previously associated with National Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Mcabee 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 $1,315,000.00 on October 30, 2020.

Suitability

There are Recent Customer Complaints with Broker Glenn Pahnke in Firm Raymond James & Associates, INC.

March 23, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Glenn Pahnke (Pahnke), currently associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Pahnke 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 $85,000.00 on November 01, 2020.

The clients expressed grievances that the advisor’s management of their accounts in the spring of 2020 resulted in losses.

There are Recent Customer Complaints with Broker Charles Egnatz in Firm Digital Capital Markets LLC

March 23, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Charles Egnatz (Egnatz), previously associated with Digital Capital Markets LLC, has at least one disclosable event. These events include one customer complaint, alleging that Egnatz 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 $750,000.00 on November 01, 2020.

The investors were misled on an equity investment in hospitality, pre-Covid.

Broker Timothy Corbett in Nylife Securities LLC Firm Has Customer Complaint

March 23, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on October 30, 2020.

Customer alleges the three separate Variable Annuity policies she purchased between March 2016 and July 2016 did not accurately identify her liquid assets and net worth.

There are Recent Customer Complaints with Broker James Mccarthy in Firm Charles Schwab & Co., INC.

March 23, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Mccarthy (Mccarthy), previously associated with Charles Schwab & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Mccarthy 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 $13,068.94 on November 02, 2020.

Client alleges that the representative recommended and placed a limit order on an opening option order on June 2, 2020, which the client claims caused him (the client) to place limit orders for multiple closing orders, for the same option, when the client placed orders himself online on June 3, 2020.

There are Recent Customer Complaints with Broker Robert Blake in Firm Cambridge Investment Research, INC.

March 23, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Blake (Blake), previously associated with Cambridge Investment Research, INC., has at least one disclosable event. These events include one customer complaint, alleging that Blake 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 November 02, 2020.

SOC alleges sale of unsuitable investments.

There are Recent Customer Complaints with Broker Katherine Markowski in Firm Osaic Wealth, INC.

March 22, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Katherine Markowski (Markowski), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Markowski 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 $44,000.00 on November 06, 2020.

Customer alleges the representative made a recommendation that did not meet the clients’ needs and allegedly caused losses.

Broker Christopher Phillips in RBC Capital Markets, LLC Firm Has Customer Complaint

March 22, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Phillips (Phillips), currently associated with RBC Capital Markets, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Phillips 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 $367,452.00 on November 06, 2020.

The claimant alleged he suffered a net loss of more than 65% of his Employee Pension IRA Account value due to the FA’s failure to properly diversify the account and by their discretionary purchase of single company stocks almost all in oil and gas or energy sectors that were not appropriate for the client’s objectives or risk tolerance.

Broker Nicholas Webster in RBC Capital Markets, LLC Firm Has Customer Complaint

March 22, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on November 04, 2020.

Client alleged changes authorized in an email to her financial advisor in February 2020 were not completed. Based on the claim, per receipt of client’s letter on November 4, 2020, client requests that her accounts be restored to their January 2, 2020 values.

Broker Matthew Genco in Morgan Stanley Firm Has Customer Complaint

March 22, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Genco (Genco), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Genco 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 $5,162,453.00 on November 03, 2020.

Claimants alleged misrepresentation with respect to option strategy in managed accounts – January 2019 to January 2020.