Articles Posted in Reg BI

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

FINRA BrokerCheck shows a pending customer complaint on June 04, 2026.

CLIENT ALLEGES THAT SHE DID NOT AUTHORIZE THE SALE OF TEN STOCKS IN HER ACCOUNT IN OCTOBER 2025

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gregory Weido (Weido), previously associated with PFS Investments INC., has at least one disclosable event. These events include one customer complaint, alleging that Weido 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 $600,000.00 on June 02, 2026.

Customer alleges representative sold securities not offered by the firm

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

FINRA BrokerCheck shows a pending customer complaint on June 05, 2026.

Customer alleges that the representative did not act in his best interest with respect to a variable annuity investment purchased in 1999.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Lapiana (Lapiana), currently associated with Ausdal Financial Partners, INC., has at least one disclosable event. These events include one customer complaint, alleging that Lapiana 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 $884,000.00 on June 11, 2026.

Violations of Federal Securities laws, Violation of New York consumer protection act; Violation of the New Jersey Uniform securities law; Breach of contract; Common Law Fraud; Negligence and Gross Negligence related to purchases in 2021 while Mr. LaPiana was registered with another firm.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Lagrange (Lagrange), currently associated with Berthel, Fisher & Company Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Lagrange 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 $1,800,000.00 on June 09, 2026.

Suitability/negligence. 2020-2021

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Peter Po (Po), currently associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Po 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 $2,600,000.00 on May 28, 2026.

Compensatory Damages, breach of written contract pursuant to customer agreements, breach of fiduciary duty, negligence and gross negligence, misrepresentations and omissions, violation of FINRA rules, violation of state securities acts and federal securities laws, violation of Regulation Best Interest, investment made in 2024\,

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Lee (Lee), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Lee 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 $93,086.98 on June 01, 2026.

Customer alleges misrepresentation and unsuitable investment recommendation regarding a debt security investment. Activity dates 9.17.24 \\u2013 9.17.24.

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

FINRA BrokerCheck shows a pending customer complaint on June 04, 2026.

Clients attorney complains that the Financial Advisor recommended investments that were not suitable, inconsistent with their investment objectives and were not made in the client\\u2019s best interest, and seeks to be made whole of any losses incurred upon dispositioning of the securities. (10/14/2025 – 6/4/2026)

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

FINRA BrokerCheck shows a pending customer complaint on June 24, 2026.

FILED IN ERROR – PLEASE REMOVE – PLEASE ARCHIVE\,

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Frost (Frost), currently associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Frost 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 $899,060.45 on May 29, 2026.

Customer alleges the registered representative misrepresented investments made from December 2015 through September 2025.

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