Reg BI

There are Recent Customer Complaints with Broker John Berg in Firm Morgan Stanley

June 23, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Berg (Berg), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Berg 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 $300,000.00 on April 07, 2020.

Attorney alleged, inter alia, excessive trading with respect to investments in account – January 2018 thru December 2019.

There are Recent Customer Complaints with Broker Mark Reinstein in Firm Dempsey Lord Smith, LLC

June 23, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a award / judgment customer complaint with a damage request of $175,000.00 on April 06, 2020.

Reinstein was a subject of the customer\\u2019s complaint against his member firm that asserted the following causes of action: breach of fiduciary duty; violation of FINRA rules; breach of contract; negligence; and negligent supervision.

Broker Patricia Bebber in Wells Fargo Clearing Services, LLC Firm Has Customer Complaint

June 23, 2026 | by Staff Attorney

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

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

Client verbally complained that the financial advisor failed to take appropriate action to prevent him from depleting his assets through speculative transactions and unsustainable withdrawals. (5/1/2016-4/2/2020)

Broker Gerald Repasz in Ausdal Financial Partners, INC. Firm Has Customer Complaint

June 23, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gerald Repasz (Repasz), previously associated with Ausdal Financial Partners, INC., has at least one disclosable event. These events include one customer complaint, alleging that Repasz 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 April 02, 2020.

Unsuitable investments

Broker Richard Westerman in Northwest Investment Advisors, INC. Firm Has Customer Complaint

June 23, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on April 06, 2020.

Sales practices

There are Recent Customer Complaints with Broker Lawrence Karp in Firm 1031 Securities INC.

June 19, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lawrence Karp (Karp), currently associated with 1031 Securities INC., has at least one disclosable event. These events include one customer complaint, alleging that Karp 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 $376,000.00 on October 16, 2025.

Customer alleges unsuitable investment recommendation in real estate security.

Broker Kevin O’callahan in Fidelity Brokerage Services LLC Firm Has Customer Complaint

June 19, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on June 07, 2024.

The customer alleges she was misled when she purchased a variable annuity in November 2021. The Customer no longer wants the annuity.

There are Recent Customer Complaints with Broker Samuel Shepherd in Firm LPL Financial LLC

June 19, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Samuel Shepherd (Shepherd), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Shepherd 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 $1,400,000.00 on February 20, 2026.

Customer alleges the representative did not act in the best interest of the retail customer by recommending an unsuitable securities investment for the customer’s investment objectives between March 2022 through November 2022

There are Recent Customer Complaints with Broker Luis Abreu in Firm Oppenheimer & CO. INC.

June 19, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on November 19, 2025.

Complainant alleges that financial advisor gave poor advice in connection with the timing of selling an investment. From 11/1/2025 to 11/17/2025.

There are Recent Customer Complaints with Broker Jamie Esler in Firm Merrill Lynch, Pierce, Fenner & Smith Incorporated

June 19, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jamie Esler (Esler), previously associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Esler 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 $350,000.00 on September 16, 2025.

Customer alleged Breach of Fiduciary Duty as related to contract negligence. Customer alleged damages from fees charged in connection to an invalid customer contract as well as pre judgment interest and cost of legal representation.