Reg BI

Broker Ryon Frisch in LPL Financial LLC Firm Has Customer Complaint

November 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ryon Frisch (Frisch), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Frisch 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 $150,395.00 on October 17, 2022.

The complainant alleges that in 2021, the representative had him move the funds from his two existing variable annuities into two new variable annuities, telling him that the new variable annuities offered the same GMIB benefits as his existing annuities. The complainant alleges that he has since learned that neither of his new AXA variable annuities have GMIB protection, which has caused him financial harm.

Broker Kari March in Realta Equities, INC. Firm Has Customer Complaint

November 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kari March (March), previously associated with Realta Equities, INC., has at least one disclosable event. These events include one customer complaint, alleging that March 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 $200,000.00 on October 14, 2022.

Claimants alleged their assets were mishandled by misrepresenting the investments recommended and investing them in high risk and illiquid investments.

There are Recent Customer Complaints with Broker Gregory Ramirez in Firm Cabin Securities, INC.

November 3, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a award / judgment customer complaint with a damage request of $150,000.00 on October 18, 2022.

Ramirez was named in a customer complaint that asserted the following causes of action: violation of FINRA suitability rules; violation of FINRA Rule 2010; breach of fiduciary duties; material misrepresentations; violation of the California Elder Abuse and Dependent Adult Civil Protection Act; and violation of the California Business & Professional Code. In the Counterclaim, Respondent asserted the following cause of action: defamation.

Broker Donald Shephard in First Command Financial Planning, INC. Firm Has Customer Complaint

November 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Donald Shephard (Shephard), previously associated with First Command Financial Planning, INC., has at least one disclosable event. These events include one customer complaint, alleging that Shephard 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 $90,000.00 on December 09, 2022.

Claimant alleges unsuitable investments, failure to act in the best interest of the claimant, misrepresentations and omissions, breach of fiduciary duty, breach of contract, failure to supervise, negligence, and violation of state and federal securities laws.

There are Recent Customer Complaints with Broker Barry Kemp in Firm LPL Financial LLC

November 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Barry Kemp (Kemp), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kemp 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 $23,500.00 on October 13, 2022.

Customer’s daughter alleged bond was unsuitable given the maturity date.

There are Recent Customer Complaints with Broker Robert Smith in Firm MML Investors Services, LLC

November 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Smith (Smith), currently associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, 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 with a damage request of $35,000.00 on December 12, 2022.

The complainant states that the registered representative, misrepresented that he could borrow from the Variable Universal Life policy, which was issued on December 1, 1999, freely, without any risk of default, and could continue to borrow, while simultaneously reducing his monthly premium amounts, and because of these misrepresentations, purchased additional insurance policies.

Broker Donald Harrell in Morgan Stanley Firm Has Customer Complaint

November 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Donald Harrell (Harrell), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Harrell 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 $135,170.00 on October 17, 2022.

TRUSTEE ALLEGES ALLOCATION AND INVESTMENT STRATEGY OF TRUST ACCOUNT WAS UNSUITABLE 202-2022

There are Recent Customer Complaints with Broker Andrew Gergatsoulis in Firm Aegis Capital Corp.

November 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andrew Gergatsoulis (Gergatsoulis), currently associated with Aegis Capital Corp., has at least one disclosable event. These events include one customer complaint, alleging that Gergatsoulis 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 $35,494.29 on October 14, 2022.

Breach of fiduciary duty, unsuitable investment strategy and recommendation

There are Recent Customer Complaints with Broker Martin Klein in Firm RBC Capital Markets, LLC

November 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Martin Klein (Klein), currently associated with RBC Capital Markets, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Klein 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 $8,400,000.00 on October 14, 2022.

The clients alleged the advisor made unsuitable recommendations to purchase governmental agency bonds for his portfolio between September 2016 and June 2022, and misinformed him of their potential risk related to rising interest rates.

Broker Mark Rippeteau in RBC Capital Markets, LLC Firm Has Customer Complaint

November 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Rippeteau (Rippeteau), previously associated with RBC Capital Markets, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Rippeteau 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 $31,000.00 on October 17, 2022.

The client alleged his advisor failed to follow sell trading instructions in March 2022.