Reg BI

Broker Jeremy Raffer in Steward Partners Investment Solutions, LLC Firm Has Customer Complaint

June 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeremy Raffer (Raffer), currently associated with Steward Partners Investment Solutions, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Raffer 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 $30,000.00 on February 12, 2024.

Client alleged damages resulting from the liquidation of a portfolio.

Broker Zachary Floberg in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

June 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Zachary Floberg (Floberg), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Floberg recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on February 08, 2024.

Client alleges that representative failed to follow instructions from 11/16/2023-02/08/2024.

Broker Tammy Paquette in LPL Financial LLC Firm Has Customer Complaint

June 3, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on February 08, 2024.

Customers allege that investments made in 2013 were unsuitable for the customers’ investment objectives and risk tolerances.

Broker Craig Rottman in Aurora Securities Firm Has Customer Complaint

June 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Craig Rottman (Rottman), currently associated with Aurora Securities, has at least one disclosable event. These events include one customer complaint, alleging that Rottman 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 $130,000.00 on February 12, 2024.

Client alleges negligence, gross negligence, breach of fiduciary duty, breach of contract, fraud, negligent misrepresentations, negligent supervision, and violations of State, SEC, and FINRA rules including, but not limited to: violations of 10-04-15 of the North Dakota Securities Act of 1951, Section 206(4) of and Rule 206(4)-7 under the Investment Advisers Act of 1940, FINRA Rule 2010, Standards of Commercial Honor and Principals of Trade: FINRA Rule 2111, Suitability; FINRA Rule 3010, Supervision; and FINRA Rule 2020, Use of Manipulative, Deceptive or Other Fraudulent Devices.

There are Recent Customer Complaints with Broker Ross Fabregas in Firm LPL Financial LLC

June 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ross Fabregas (Fabregas), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Fabregas 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 $15,000.00 on February 14, 2024.

Customer alleged the advisor solicited a $15,000 undisclosed personal loan which he failed to pay back.

There are Recent Customer Complaints with Broker Edward Barfield in Firm Kovack Securities INC.

June 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Edward Barfield (Barfield), currently associated with Kovack Securities INC., has at least one disclosable event. These events include one customer complaint, alleging that Barfield 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 $292,000.00 on February 08, 2024.

Client alleges that Representative made an unsuitable recommendation of a fixed whole life insurance product in 2020 and that the representative created a tax liability in the transferring of her IRA account to a revocable living trust account.

There are Recent Customer Complaints with Broker Michael Young in Firm Aurora Securities

June 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Young (Young), currently associated with Aurora Securities, has at least one disclosable event. These events include one customer complaint, alleging that Young 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 $130,000.00 on February 15, 2024.

Client alleges negligence, gross negligence, breach of fiduciary duty, breach of contract, fraud, negligent misrepresentations, negligent supervision, and violations of State, SEC, and FINRA rules including, but not limited to: violations of 10-04-15 of the North Dakota Securities Act of 1951, Section 206(4) of and Rule 206(4)-7 under the Investment Advisers Act of 1940, FINRA Rule 2010, Standards of Commercial Honor and Principals of Trade: FINRA Rule 2111, Suitability; FINRA Rule 3010, Supervision; and FINRA Rule 2020, Use of Manipulative, Deceptive or Other Fraudulent Devices.

There are Recent Customer Complaints with Broker Rodney Ferguson in Firm Nylife Securities LLC

June 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Rodney Ferguson (Ferguson), previously associated with Nylife Securities LLC, has at least 6 disclosable events. These events include 6 customer complaints, alleging that Ferguson recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on February 09, 2024.

Customer alleges that the Variable Universal Life Insurance policy she purchased in August 2022 was not adequately explained as it is not sustainable with regards to her current financial abilities.

There are Recent Customer Complaints with Broker Duncan Maceachern in Firm LPL Financial LLC

June 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Duncan Maceachern (Maceachern), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Maceachern 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 $50,000.00 on February 13, 2024.

The customer alleges that in December of 2020, the Registered Representative recommended an unsuitable, high-risk, illiquid investment, and breached his fiduciary duty.

There are Recent Customer Complaints with Broker Douglas Schmitz in Firm Aurora Securities

June 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Douglas Schmitz (Schmitz), currently associated with Aurora Securities, has at least one disclosable event. These events include one customer complaint, alleging that Schmitz 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 $130,000.00 on February 12, 2024.

Client alleges negligence, gross negligence, breach of fiduciary duty, breach of contract, fraud, negligent misrepresentations, negligent supervision, and violations of State, SEC, and FINRA rules including, but not limited to: violations of 10-04-15 of the North Dakota Securities Act of 1951, Section 206(4) of and Rule 206(4)-7 under the Investment Advisers Act of 1940, FINRA Rule 2010, Standards of Commercial Honor and Principals of Trade: FINRA Rule 2111, Suitability; FINRA Rule 3010, Supervision; and FINRA Rule 2020, Use of Manipulative, Deceptive or Other Fraudulent Devices.