Articles Posted in Reg BI

| by

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

FINRA BrokerCheck shows a settled customer complaint on March 13, 2025.

Claimant alleges representative recommended unsuitable investment of a fixed annuity.

Continue Reading

| by

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

FINRA BrokerCheck shows a settled customer complaint on December 17, 2025.

In December 2024, client requested funds be raised in a tax efficient manner in multiple accounts to cover the tax liability associated with a September 2024 ROTH IRA conversion. In December 2025, client expressed orally that he was upset with the capital gains incurred related to the raising of funds in 2024.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Prem Suhalka (Suhalka), currently associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Suhalka 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 $10,000.00 on April 14, 2026.

Claimant alleges she was not told she would have to pay $10,000 per year in premiums when she established her Variable Universal Life policy. Claimant seeks full surrender of her policy and refund of the $10,000 of premiums paid to date.

Continue Reading

| by

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

FINRA BrokerCheck shows a settled customer complaint on April 14, 2026.

Through an oral complaint, the client claimed that he was not completely informed of the impact of liquidating his portfolio upon transfer to TIAA.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Trawnegan Gall (Gall), currently associated with Wealthforge Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Gall 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 $1,815,302.40 on April 24, 2026.

From investment activity between April and October of 2022, claimant alleges the following: misrepresentation and omission of material facts, lack of due diligence, lack of suitability, negligence, breach of fiduciary duty, and failure to supervise

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Rees Mason (Mason), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Mason 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 $1,200,000.00 on April 28, 2026.

Claimant alleges improper/unauthorized facilitation of a margin loan and misrepresentation of tax strategy.

Continue Reading

| by

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

FINRA BrokerCheck shows a pending customer complaint on April 29, 2026.

The client alleges that after deciding not to move forward with an annuity purchase. The advisor signed and submitted the annuity paperwork.\,

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Raper (Raper), currently associated with Wealthforge Securities, LLC / Wealthforge Distributors, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Raper 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 April 29, 2026.

From investment activity in August 2022, claimants allege the following: misrepresentation and omission of material facts, lack of due diligence, lack of suitability, negligence, breach of fiduciary duty, and failure to supervise

Continue Reading

| by

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

FINRA BrokerCheck shows a final customer complaint on April 29, 2026.

Respondent Alexander failed to respond to FINRA requests for information.

Continue Reading

| by

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

FINRA BrokerCheck shows a pending customer complaint on April 22, 2026.

Claimant alleges that beginning in June 2025, Claimant was scammed and the registered representative failed to protect the Claimant by not reporting the suspicious activity the Claimant reported.

Continue Reading
Contact Information
295 Madison Ave #705
New York, NY 10017
Toll Free: 800-810-4262
3706 N Greenview Ave
#100
Chicago, IL 60613
28 Valley Rd
#1
Montclair, NJ 07042
ATTORNEY ADVERTISING

Please do not include any confidential or sensitive information in a contact form, text message, or voicemail. The contact form sends information by non-encrypted email, which is not secure. Submitting a contact form, sending a text message, making a phone call, or leaving a voicemail does not create an attorney-client relationship.

Copyright © 2026, Gana Weinstein LLP
JUSTIA Law Firm Blog Design