Reg BI

Broker Kenneth Barroga in Crown Capital Securities, L.p. Firm Has Customer Complaint

August 2, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kenneth Barroga (Barroga), previously associated with Crown Capital Securities, L.p., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Barroga 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 $180,000.00 on June 22, 2020.

The customer alleges lack of suitability, breach of fiduciary duty, misrepresentation and omissions of material facts and lack of due diligence in connection with transactions in alternative investment products.

Broker Jack Owens in Gradient Securities, LLC Firm Has Customer Complaint

August 2, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jack Owens (Owens), previously associated with Gradient Securities, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Owens 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 June 22, 2020.

Representative is party to this arbitration which claims firm breach of fiduciary duty as it relates to the supervision of annuity transactions.

Broker Eric Coffman in Valmark Securities, INC. Firm Has Customer Complaint

August 2, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eric Coffman (Coffman), currently associated with Valmark Securities, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Coffman 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 $17,790.52 on June 26, 2020.

Client alleges that in 2019 instructions to stop automatic income distributions set up on her account were not executed and as a result suffered losses in the form of extra taxes owed and additional Medicare expenses in 2021 from inflated 2019 income.

There are Recent Customer Complaints with Broker Mark Perry in Firm Brokers International Financial Services, LLC.

August 2, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Perry (Perry), previously associated with Brokers International Financial Services, LLC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Perry 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 $150,000.00 on June 22, 2020.

Arbitration claims Insurance Agent took checks made payable to his firm totaling $150,000 and converted it for personal use. Firm and Rep are named as responsible for supervision of the Agent’s activity for his own company where Rep happened to be employed.

Broker Carlos Abad in Tfs Securities, INC. Firm Has Customer Complaint

August 2, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Carlos Abad (Abad), previously associated with Tfs Securities, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Abad 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 June 22, 2020.

Claimant believes rep placed his retirement assets into speculative/high commission alternative investments that were unsuitable; believes majority of his retirement assets were lost under reps care and guidance

There are Recent Customer Complaints with Broker Louis Bayhi in Firm Nylife Securities LLC

August 2, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Louis Bayhi (Bayhi), currently associated with Nylife Securities LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Bayhi 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 $11,002.00 on June 29, 2020.

The customer alleges the RR never advised him in September 2019 that he would incur a tax obligation when he recommended that he exchange one fund for another in his Mainstay mutual fund account. As a result of the poor recommendation, the customer alleged he incurred an $11,000 additional tax obligation and he is requesting to be made whole for the extra taxes incurred.

Broker Russell Blum in International Assets Advisory, LLC Firm Has Customer Complaint

August 2, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Russell Blum (Blum), currently associated with International Assets Advisory, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Blum recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on June 24, 2020.

Claimant alleges fa over-concentrated her portfolio in unsuitable investments

Broker David Mcnally in Mcnally Financial Services Corporation Firm Has Customer Complaint

August 2, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Mcnally (Mcnally), currently associated with Mcnally Financial Services Corporation, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Mcnally 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 $366,773.00 on June 22, 2020.

Breach of fiduciary duty, negligent supervision, violation of Corporation Code Section 25400 et seq, Control liability under Corporation Code 25403, 25504, 25504.1, Elder abuse under CA Welfare and Institutional Code

Broker Brian Cobb in Edward Jones Firm Has Customer Complaint

August 1, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Cobb (Cobb), currently associated with Edward Jones, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Cobb 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 $35,107.62 on June 30, 2020.

The client’s alleges that the commissions to liquidate their accounts was misrepresented and has asked for reimbursement of difference.

There are Recent Customer Complaints with Broker Frederick Guist in Firm LPL Financial LLC

August 1, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Frederick Guist (Guist), currently associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Guist 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 July 01, 2020.

Claimant alleges that he suffered losses in connection with three alternative investments that were purchased for claimant at another broker-dealer and not lpl. Claimant contends that the investments declined in value and seeks damages under breach of fiduciary duty and negligence theories of liability. Activity period: 4/2007 – 4/2020.