Articles Posted in Reg BI

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jonathan Keller (Keller), currently associated with Arkadios Capital, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Keller 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 $500,000.00 on May 15, 2026.

Alleges unsuitable product

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Taulant Cela (Cela), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Cela 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 $163,360.00 on May 21, 2026.

Customer alleges unauthorized trading regarding a managed account investment. Activity dates June 2019 to January 2020.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Kuhlman (Kuhlman), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kuhlman 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 $267,723.00 on May 13, 2026.

Customer alleges poor recommendation regarding managed account. Activity dates 12/4/25 \\u2013 5/13/26.

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

FINRA BrokerCheck shows a pending customer complaint on May 27, 2026.

Claimants allege unsuitable investments, breach of fiduciary duty and violation of Regulation Best Interest.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Suihock Goy (Goy), currently associated with Ni Advisors, has at least one disclosable event. These events include one customer complaint, alleging that Goy 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 May 26, 2026.

Claim is for $50,000 investment made in 2024. Issuer subsequently declared bankruptcy.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Scott Madura (Madura), currently associated with Quincy Wells Capital, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Madura 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 May 20, 2026.

Claimants allege unsuitable and negligent alternative investment recommendation by Respondent Great Point Capital, acting through its registered representative Scott W. Madura. The alternative investment was purchased on August 5th, 2024. The allegations include a failure to conduct due diligence, unsuitable recommendations, deceptive business practices act, breach of contract, common law fraud, breach of fiduciary duty, violation of Michigan Uniform Securities Act/Michigan Consumer Protection Act, negligence and gross negligence.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Hardiman (Hardiman), currently associated with Janney Montgomery Scott LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hardiman 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 May 28, 2026.

Claimants allege that their accounts were unsuitably invested.\,

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dorothy Mannix (Mannix), currently associated with Purshe Kaplan Sterling Investments, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Mannix 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 $25,000.00 on May 18, 2026.

Client alleges breach of fiduciary duty regarding the sale of mutual funds resulting in a possible wash sale tax implication.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Forrester (Forrester), currently associated with Newbridge Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Forrester 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 $95,000.00 on May 18, 2026.

Negligence, breach of contract, breach of fiduciary duty and reg bi

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

FINRA BrokerCheck shows a pending customer complaint on May 26, 2026.

Client alleged that he did not authorize the establishment of a discretionary managed account or any of the trades that were made May 2026

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