Reg BI

There are Recent Customer Complaints with Broker Gobind Hemnani in Firm Nylife Securities LLC

May 3, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on June 02, 2020.

The customer alleged that a the market risk of a variable universal life insurance policy issued on or about September 18, 1998 had been misrepresented.

There are Recent Customer Complaints with Broker Christopher Monahan in Firm RBC Capital Markets, LLC

May 3, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Monahan (Monahan), previously associated with RBC Capital Markets, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Monahan 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 June 04, 2020.

Claimants maintained investments with the Financial Advisor. The Financial Advisor understood that the claimants did not want to take unnecessary risks with their savings. RBC recommended high risk, concentrated investments in Puerto Rico bonds. Mr. Monahan described the investments as safe income producing vehicles. As a result, the claimants suffered principal losses.

There are Recent Customer Complaints with Broker Doyle Brown in Firm Cambridge Investment Research, INC.

May 3, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Doyle Brown (Brown), currently associated with Cambridge Investment Research, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Brown 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 $31,500.00 on June 04, 2020.

Customer alleged 2018 mutual fund purchase was misrepresented.

There are Recent Customer Complaints with Broker Matthew Denman in Firm Edward Jones

May 2, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Denman (Denman), previously associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Denman 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 $52,000.00 on June 11, 2020.

Client alleges that investing $250,000.00 in a single fund (JP Morgan Income Builder Fund) was too aggressive for her risk tolerance and she lost $52,000.00 as a result.

Broker Samuel Mandan in Raymond James Financial Services, INC. Firm Has Customer Complaint

May 2, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Samuel Mandan (Mandan), previously associated with Raymond James Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Mandan 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 09, 2020.

Client alleges equity liquidations placed in June 2019 were not suitable.

Broker Nico Sharp in Citigroup Global Markets INC. Firm Has Customer Complaint

May 2, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nico Sharp (Sharp), previously associated with Citigroup Global Markets INC., has at least one disclosable event. These events include one customer complaint, alleging that Sharp 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 June 08, 2020.

Claimant alleges that between June 2017 and May 2018, financial advisor Nico Raphael Sharp invested over $1 million on behalf of the Trust in Chronos Capital Partners, LLC, a company Mr. Sharp co-founded, without disclosing his connection to the company. Claimant further alleges unsuitability, fraud, and breach of fiduciary duty against Mr. Sharp, who left the employ of CGMI on April 25, 2018, in connection with investment in Chronos.

Broker Kevin Longo in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

May 2, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on June 08, 2020.

Customer alleges unsuitable investment recommendation in January 2020.

Broker Robert Dunbar in MML Investors Services, LLC Firm Has Customer Complaint

May 2, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Dunbar (Dunbar), previously associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Dunbar 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 $2,528,328.00 on June 10, 2020.

Customer alleges that RR Dunbar misrepresented and/or omitted material facts relating to the sale of a life insurance policy.

There are Recent Customer Complaints with Broker Katherine Petrelli in Firm LPL Financial LLC

May 2, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on June 11, 2020.

Customer alleged that he instructed on June 3, 2020 that his account be sold if its value dropped to $487,500, and that these instructions were not followed. Customer sought compensation of between $7,000 and $16,980.93 in losses after account declined further in value. Activity period: 6/3/20 to 6/11/20.

There are Recent Customer Complaints with Broker Jon Pariser in Firm Independent Financial Group, LLC

May 2, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jon Pariser (Pariser), previously associated with Independent Financial Group, LLC, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Pariser 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 $1,202,739.63 on June 12, 2020.

Alleges representative was involved with individuals who were running a scam and that he convinced her to invest in fraudulent investments, resulting in a loss.