Articles Posted in Reg BI

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Timothy O’brien (O’brien), currently associated with Ausdal Financial Partners, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that O’brien 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 $124,692.25 on February 05, 2026.

Incorporation of Recitals and Regulatory Standards, Unauthorized Liquidation and Distribution of assets, Negligence, Breach of Fiduciary Duty, Supervisory Failures and Admissions, Breach of Contract. Allegations are related to the liquidation and distribution of assets from the client's account due to her reps email being compromised and distribution requests being submitted with signatures that appeared to be the from the client and the rep.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Damasiewicz (Damasiewicz), currently associated with Northwestern Mutual Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Damasiewicz 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 $10,000.00 on February 27, 2026.

The clients have alleged that the Financial Advisor failed to reassess the suitablity of their portfolio of mutual funds as financial circumstances changed over time.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Rudy Anguiano (Anguiano), currently associated with Alexander Capital, L.p., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Anguiano 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, 2025.

Customer verbally alleged advisor accepted and has not returned funds sent from lpl client account to an unapproved oba for which he was a sole member

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin O’sullivan (O’sullivan), currently associated with Dfpg Investments, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that O’sullivan 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 $300,000.00 on September 19, 2024.

Claimant alleges the RR recommended an unsuitable Oil & Gas investment.

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

FINRA BrokerCheck shows a pending customer complaint on January 02, 2024.

The customer alleges that an investment made in 2014 was inappropriate for the customer’s investment objectives and risk tolerance.

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

FINRA BrokerCheck shows a settled customer complaint on December 08, 2025.

Clients allege the advisor failed to adequately disclose or set expectations related to the potential impact of realized capital gains and further alleges that securities were sold from the account without the client’s authorization.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Anthony D’ascoli (D’ascoli), currently associated with Oppenheimer & CO. INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that D’ascoli 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 $850,000.00 on January 22, 2026.

Claimant alleges he suffered losses due to his investment in two fixed income funds, and alleges claims for negligence, breach of contract, breach of fiduciary duty and violations of federal and FINRA regulations. 2013 – 2024

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

FINRA BrokerCheck shows a settled customer complaint on January 23, 2026.

Customer state representative recommended investments in REITS between April 2013 and March 2017 that resulted in financial losses.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark D’ercole (D’ercole), previously associated with Portsmouth Financial Services, has at least one disclosable event. These events include one customer complaint, alleging that D’ercole 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 $590,000.00 on July 08, 2024.

The firm, Portsmouth Financial Services, was named as the respondent. Statement of claim cites that respondent failed to conduct reasonable due diligence, misrepresentation of facts, false statements and failure to supervise. Claims against rep include unsuitable investment recommendation.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gary Yontz (Yontz), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Yontz 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 $5,000.00 on January 23, 2026.

Customer alleges unauthorized trading of Church & Dwight Inc common stock by the financial professionals between 2017 and 2018.

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