Reg BI

There are Recent Customer Complaints with Broker Joseph Behrend in Firm LPL Financial LLC

June 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Behrend (Behrend), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Behrend 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.

Customer alleges that investments made in 2013 were unsuitable for the customer’s investment objectives and risk tolerance.

There are Recent Customer Complaints with Broker Craig Fredrickson in Firm Berthel, Fisher & Company Financial Services, INC.

June 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Craig Fredrickson (Fredrickson), currently associated with Berthel, Fisher & Company Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Fredrickson 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 $499,999.00 on February 13, 2024.

The claimant alleges the investments he purchased in 2015 were unsuitable and was misrepresented to him. In addition the client alleges that the Firm and registered representative breached their fiduciary duties and that the Firm failed to supervise the representative.

There are Recent Customer Complaints with Broker Mario Barone in Firm LPL Financial LLC

June 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mario Barone (Barone), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Barone 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.

Customer alleges that investments made in 2013-2014 were unsuitable for the customer’s investment objectives and risk tolerance.

Broker Carlos Palacios Pazos in Efg Capital International Firm Has Customer Complaint

June 2, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Carlos Palacios Pazos (Palacios Pazos), previously associated with Efg Capital International, has at least one disclosable event. These events include one customer complaint, alleging that Palacios Pazos 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 $48,000.00 on February 20, 2024.

Customer claims that registered representative Carlos Palacios, recommended securities that were not aligned to his investment objectives.\, Customer claims that as a result he incurred losses totaling $48,000.

There are Recent Customer Complaints with Broker Kultar Bindra in Firm LPL Financial LLC

June 2, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kultar Bindra (Bindra), currently associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Bindra 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 $31,860.00 on February 16, 2024.

Client alleges an unsuitable recommendation was made.

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

June 2, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andrew Ross (Ross), previously associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Ross 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 16, 2024.

Claimant alleges the rr recommended an unsuitable oil & gas investment.

Broker Kevin Kuehn in Osaic Wealth, INC. Firm Has Customer Complaint

June 2, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Kuehn (Kuehn), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Kuehn 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 $200,000.00 on February 16, 2024.

Claimant alleges their RR recommended unsuitable Oil and Gas investments.

There are Recent Customer Complaints with Broker Saied Zangenehpour in Firm Lincoln Financial Advisors Corporation

June 2, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Saied Zangenehpour (Zangenehpour), previously associated with Lincoln Financial Advisors Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Zangenehpour 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 $100,000.00 on February 16, 2024.

Claimant alleges the RR recommended an unsuitable Oil & Gas investment

Broker Randall Morris in Proequities, INC. Firm Has Customer Complaint

June 2, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Randall Morris (Morris), previously associated with Proequities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Morris 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 $45,000.00 on February 20, 2024.

Claimants allege Mr. Morris made unsuitable recommendations for the purchase of two alternative investments.

There are Recent Customer Complaints with Broker John Bussa in Firm Osaic Wealth, INC.

June 2, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Bussa (Bussa), currently associated with Osaic Wealth, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Bussa 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 $100,000.00 on February 16, 2024.

Claimant alleges their RR recommended an unsuitable Oil and Gas investment.