Articles Posted in Reg BI

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Gundrum (Gundrum), currently associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Gundrum 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 June 12, 2026.

Client alleges RR misrepresented the terms of an annuity purchased in 2025 that was unsuitable for their needs.

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

FINRA BrokerCheck shows a pending customer complaint on June 11, 2026.

Client alleges misrepresentation of liquidity information related to private equity securities.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Smith (Smith), currently associated with Emerson Equity LLC, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Smith recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on June 12, 2026.

Breach of contract and warranties promissory estoppel, consumer protection and deceptive trade practices act, violation of securities statutes, breach of fiduciary duty, claims under common law, vicarious liability, Violation of Regulation Best Interest

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Paul Mcintyre (Mcintyre), currently associated with Msc – Bd, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mcintyre 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 June 12, 2026.

See Claim.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Zachary Bloemen (Bloemen), currently associated with Hornor, Townsend & Kent, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bloemen 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 $20,000.00  on March 10, 2020.

The customer alleged that he instructed the representative to make trades which were not executed.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Melvin Payne (Payne), previously associated with PHX Financial, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Payne 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 $48,732.00  on March 09, 2020.

Time frame: unspecified. Claimant alleges unsuitability, breach of contract, breach of fiduciary duty.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Provolt (Provolt), currently associated with Fidelity Brokerage Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Provolt 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 $75,962.00  on March 12, 2020.

Customer alleged that representative did not accurately represent the tax liabilities regarding the sales of certain securities.

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

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

The client states that she provided account trade instructions to the representative on February 20, 2020 but due to a delay in trades being made, has experienced a loss in account value.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Vieira (Vieira), currently associated with Commonwealth Financial Network, has at least one disclosable event. These events include one customer complaint, alleging that Vieira 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 $67,054.00  on March 10, 2020.

The customer alleged that the advisor failed to follow trade instructions with regard to settling 2 accounts to cash positions. Activity period:  1/8/20 through 4/9/20.

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

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

The client alleges he was told trades to rebalance his account would be placed on March 9 and instead they executed on March 10, 2020

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