Reg BI

There are Recent Customer Complaints with Broker Curt Grossman in Firm Kestra Investment Services, LLC

June 2, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Curt Grossman (Grossman), previously associated with Kestra Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Grossman 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 $5,000.00 on February 20, 2024.

Claimants allege Mr. Grossman recommended the sale of unsuitable investments.

Broker Leon Levinson 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 Leon Levinson (Levinson), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Levinson 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 their RR recommended an unsuitable Oil and Gas Investment

There are Recent Customer Complaints with Broker Ronald Smith in Firm Sanford C. Bernstein & Co., LLC

June 1, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ronald Smith (Smith), currently associated with Sanford C. Bernstein & Co., LLC, has at least one disclosable event. These events include one customer complaint, alleging that Smith 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 $250,000.00 on February 22, 2024.

Breach of Fiduciary Duty, Negligence, Failure to Supervise, Failure to Recommend Suitable Investments, Failureto Act in Claimants Best Interest, Unauthorized Trading, Misrepresentation and Omission of Material Facts.

There are Recent Customer Complaints with Broker Darren Grossman in Firm Centaurus Financial, INC.

June 1, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Darren Grossman (Grossman), currently associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Grossman 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 $250,000.00 on February 21, 2024.

The customers allege that, during the period of January 2020 through October 2020, the Registered Representative recommended unsuitable, high-risk, illiquid investments, and breached his fiduciary duty.

Broker Andrew Payne in Aegis Capital Corp. Firm Has Customer Complaint

June 1, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andrew Payne (Payne), previously associated with Aegis Capital Corp., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Payne recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on February 20, 2024.

Time Frame: July 16th, 2020 to February 20, 2024\, Allegation Language – The client alleges his financial advisor had shares journaled which were subsequently sold to another account without his authority.

Broker Lawrence Depaul in Centaurus Financial, INC. Firm Has Customer Complaint

June 1, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lawrence Depaul (Depaul), currently associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Depaul 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 $100,001.00 on February 21, 2024.

The customer alleges that during the period of 2019 through 2021, the Registered Representative recommended unsuitable, high-risk, illiquid investments, and breached his fiduciary duty.

There are Recent Customer Complaints with Broker Erik Volland in Firm Nfp Advisor Services, LLC

June 1, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Erik Volland (Volland), previously associated with Nfp Advisor Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Volland 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 $5,000.00 on February 20, 2024.

Claimants allege Mr. Volland recommended the sale of unsuitable investments.

There are Recent Customer Complaints with Broker Jason Anderson in Firm Momentum Independent Network INC.

June 1, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jason Anderson (Anderson), currently associated with Momentum Independent Network INC., has at least one disclosable event. These events include one customer complaint, alleging that Anderson 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 $7,150.67 on February 23, 2024.

Claimant alleges misrepresentation with respect to the solicitation of a variable annuity.

There are Recent Customer Complaints with Broker John Mateyko in Firm Peachcap Securities, INC.

June 1, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Mateyko (Mateyko), currently associated with Peachcap Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Mateyko 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 $1,000,000.00 on February 22, 2024.

Claimants allege breach of fiduciary duty and negligent misrepresentations related to corporate debt securities in which they transacted business.

There are Recent Customer Complaints with Broker Patrick Fels in Firm Goldman Sachs & CO. LLC

June 1, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on February 20, 2024.

KSFB Management, LLC (‘KSFB’) and Focus Financial Partners, LLC (‘Focus’) each engaged Goldman Sachs & Co. LLC (the ‘Firm’) as investment banker pursuant to an engagement letter. While not in the non-disclosure agreement referenced in the complaint, the parties’ engagement letter provided, among other things, that the Firm might currently be providing other advisory and/or investment banking services that could impact the transaction; the Firm was not a fiduciary of either company; and no claim could be brought against the Firm asserting breach of fiduciary duty. Nevertheless, KSFB has now filed litigation against Focus, the Firm, Patrick Fels and another individual alleging various common law claims against various parties, including breach of fiduciary duty, fraudulent concealment, and unjust enrichment. All defendants are moving to dismiss the complaint.