Reg BI

There are Recent Customer Complaints with Broker Patty Dawson in Firm Stifel, Nicolaus & Company, Incorporated

June 7, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on January 14, 2026.

Customer alleged registered representative made an unsuitable investment recommendation.

Broker David Smith in Ausdal Financial Partners, INC. Firm Has Customer Complaint

June 7, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Smith (Smith), currently associated with Ausdal Financial Partners, INC., 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 $124,692.25 on February 05, 2026.

Incorporation of Recitals and Regulatory Standards, Unauthorized Liquidation and Distribution of assets, Negligence, Breach of Fiduciary Duty, Supervisory Failures and Admissions, Breach of Contract. Allegations are related to the liquidation and distribution of assets from the client's account due to her reps email being compromised and distribution requests being submitted with signatures that appeared to be the from the client and the rep.

Broker William Sneckner in Emerson Equity LLC Firm Has Customer Complaint

June 6, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Sneckner (Sneckner), currently associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Sneckner 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 $656,267.57 on February 19, 2026.

Breach of contract; violation of securities laws and Regulation Best Interest

Broker Kyung Ruscitti in Nylife Securities LLC Firm Has Customer Complaint

June 6, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kyung Ruscitti (Ruscitti), previously associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Ruscitti 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 $2,500.00 on February 19, 2026.

Customer alleges he paid the RR for a financial plan that was not received. The customer has since requested a return of his funds, however the funds have not been received from the RR.

Broker Douglas Zator in Emerson Equity LLC Firm Has Customer Complaint

June 6, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Douglas Zator (Zator), currently associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Zator 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 February 19, 2026.

Breach of contract; violation of securities laws and Regulation Best Interest.

Broker William Lodico in Craft Capital Management LLC Firm Has Customer Complaint

June 6, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Lodico (Lodico), currently associated with Craft Capital Management LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lodico 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 February 17, 2026.

Client claiming use of margin, unsuitable, unauthorized trades, Misrepresentation, Negligence & Breach of fiduciary duty from April – December 2005.

There are Recent Customer Complaints with Broker Kevin Forrest in Firm Morgan Stanley

June 6, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Forrest (Forrest), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Forrest 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 $2,000,000.00 on February 06, 2026.

Claimant alleged FA employed unsuitable options trading strategy.

Broker Erik Antener in Park Avenue Securities LLC Firm Has Customer Complaint

June 6, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Erik Antener (Antener), currently associated with Park Avenue Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Antener 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 $150,000.00 on February 11, 2026.

Customer filed a FINRA arbitration alleging, among other things, that the registered representative engaged in unauthorized and unsuitable trading in connection with her investment accounts, including allegations that trades were effected without her knowledge or consent and without proper authorization. The matter remains pending.

There are Recent Customer Complaints with Broker Ian Mcelreath in Firm Metric Financial, LLC

June 6, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ian Mcelreath (Mcelreath), currently associated with Metric Financial, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mcelreath 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 $416,844.69 on February 19, 2026.

Breach of contract, violation of securities laws and Regulation Best Interest

Broker Craig Gougis in Emerson Equity LLC Firm Has Customer Complaint

June 6, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Craig Gougis (Gougis), currently associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Gougis 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 $698,000.00 on February 16, 2026.

Breach of contract, violation of securities laws and Regulation Best Interest(2022)