Articles Posted in Reg BI

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

FINRA BrokerCheck shows a pending customer complaint on November 12, 2025.

Claimants were introduced to Representative from Claimants’ CPA/tax adviser. CPA requested Representative registered with Respondent provide information on particular investment strategy to Claimants. Claimants allege that Representative and/or Respondent made unsuitable recommendations, made materially false statements to Claimants, breach of contract, breach of fiduciary duty, negligence, and negligent supervision by Respondent. No specific offerings or named products in which Claimants experienced losses were identified in the claim, nor were any damages specified.

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

FINRA BrokerCheck shows a pending customer complaint on November 12, 2025.

Claimants were introduced to Representative from Claimants’ CPA/tax adviser. CPA requested Representative registered with Respondent provide information on particular investment strategy to Claimants. Claimants allege that Representative and/or Respondent made unsuitable recommendations, made materially false statements to Claimants, breach of contract, breach of fiduciary duty, negligence, and negligent supervision by Respondent. No specific offerings or named products in which Claimants experienced losses were identified in the claim, nor were any damages specified.

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

FINRA BrokerCheck shows a pending customer complaint on November 10, 2025.

Breach of written contract; breach of fiduciary duty; negligence and gross negligence; misrepresentations and omissions; violation of FINRA rules; violation of Best Interest Obligations

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

FINRA BrokerCheck shows a pending customer complaint on November 11, 2025.

Breach of fiduciary duty; negligence; and violation of Regulation BI

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Underwood (Underwood), previously associated with Cary Street Partners, has at least one disclosable event. These events include one customer complaint, alleging that Underwood 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 $1,875,581.20 on October 08, 2025.

Investment losses from aggressive trading including options, during the period June 2023 through May 2024.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sandeep Shrivastava (Shrivastava), currently associated with Tpeg Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Shrivastava 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 $1,250,000.00 on October 13, 2025.

The client alleges he was drawn into several investments through statements by his registered representative that were materially false and misleading.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Czubek (Czubek), currently associated with Associated Investment Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Czubek 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 $31,859.80 on September 30, 2025.

The client alleged that, following a meeting in May 2025 in which the parties reportedly agreed to change the investment strategy for the client’s variable annuity by updating the underlying asset allocation, the registered representative failed to implement the agreed-upon changes. The client further alleged that this failure was discovered in September 2025 during an account review and sought compensation for purported lost investment returns since May 2025, citing the market increase during that period and the delay in implementing the new strategy.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Frank Dimartini (Dimartini), previously associated with Altitude Capital Group LLC, has at least one disclosable event. These events include one customer complaint, alleging that Dimartini 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 $1,500,000.00 on September 22, 2025.

Plaintiff alleges that the respondents misrepresented various investment opportunities to plaintiff.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Vlad Uchenik (Uchenik), currently associated with Inx Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Uchenik 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 $159,350.00 on September 25, 2025.

Customer alleges unsuitability, breach of contract and negligence on $3,500 worth of security tokens he purchased in April 2021 directly with INX Limited through an F1 offering , a company that was not affiliated with INX Securities, LLC (at the time called Openfinance Securities, LLC).

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brett Frum (Frum), currently associated with Kcd Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Frum 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 September 11, 2025.

Respondents recommended risky products. Transaction Dates: 7/10/2022, 07/21/2022, 08/07/2022 08/27/2022, and 12/08/2022.

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