Articles Posted in Reg BI

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kyle Wool (Wool), currently associated with Dominari Securities LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Wool 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 $1,000,000.00 on April 01, 2025.

Misallocated shares of an IPO.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker R Mitchell Wickham (Wickham), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Wickham 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 $1,194,869.00 on April 02, 2025.

Time frame: 2021-2023    \, \, Allegations: Claimants allege they were victims of financial exploitation leading to the wrongful withdrawal of funds from their accounts, which funds were ultimately transferred to scammers. Claimants allege UBS ignored red flags that the transactions were suspicious and failed to identify/deter the fraudulent transfers.

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

FINRA BrokerCheck shows a pending customer complaint on April 01, 2025.

Claimant alleges in 2022 he chose to retire and take a lump sum from his pension based on the registered representative’s recommendation. The Claimant alleges the recommendation was unsuitable and not in his best interest due to an erroneous assumption that the Claimant could take both a lump sum from his pension and annuitized monthly payments. The Claimant asserts the registered representative later realized the Claimant was not receiving annuitized monthly payments.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Debra Shultz (Shultz), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Shultz 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 $5,000.00 on April 04, 2025.

14 undisclosed OBA activity  10/01/2023 -03/11/2024

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gregory Cash (Cash), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Cash 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 $1,194,869.00 on April 02, 2025.

Time frame: 2021-2023    \, Allegations: Claimants allege they were victims of financial exploitation leading to the wrongful withdrawal of funds from their accounts, which funds were ultimately transferred to scammers. Claimants allege UBS ignored red flags that the transactions were suspicious and failed to identify/deter the fraudulent transfers.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Kelly (Kelly), currently associated with Avantax Investment Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Kelly 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 $190,000.00 on April 02, 2025.

Customers alleged the investments they purchased were not suitable.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joshua Helmle (Helmle), previously associated with Integrity Brokerage, LLC, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Helmle recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on April 03, 2025.

Respondent Helmle failed to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA request to provide information concerning the status of compliance.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bryon Martinsen (Martinsen), previously associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Martinsen 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 April 01, 2025.

The customer alleges that in April of 2021, the Registered Representative recommended and misrepresented an unsuitable, high-risk, illiquid investment.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kelley Slaught (Slaught), currently associated with Centaurus Financial, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Slaught 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 April 01, 2025.

The customers allege that the Registered Representative recommended and misrepresented unsuitable, high-risk, illiquid investments and didn’t adequately diversify their portfolio. No specific dates for the alleged activity were identified in the Statement of Claim.

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

FINRA BrokerCheck shows a pending customer complaint on April 07, 2025.

Client alleged that his instructions to enter a limit order were not followed and his share was sold at the market at a price lower than he wanted   April 2025

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