Reg BI

There are Recent Customer Complaints with Broker Cherrie Brickhouse in Firm UBS Financial Services INC.

June 6, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on February 09, 2026.

Time Frame: 2/5/2026 to 2/9/2026 \, \, What were the allegations against the individual? The Trustee alleges the Relationship Manager (Senior Wealth Strategy Associate) failed to execute trades as instructed.

There are Recent Customer Complaints with Broker Tim Clairmont in Firm Cetera Wealth Services, LLC

June 6, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Tim Clairmont (Clairmont), currently associated with Cetera Wealth Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Clairmont 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 February 13, 2026.

Customer alleges misrepresentation of Trilinc Global Impact Funds purchased from financial professional in 2016.

There are Recent Customer Complaints with Broker Michael Mcintyre in Firm B. Riley Wealth Management

June 6, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Mcintyre (Mcintyre), currently associated with B. Riley Wealth Management, 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 $250,000.00 on February 13, 2026.

Client alleges that the registered representative recommended unsuitable investments in the client’s account(s) that were inconsistent with the client’s investment objectives and risk tolerance.

Broker Eric Wurtel in Cetera Financial Specialists LLC Firm Has Customer Complaint

June 6, 2026 | by Staff Attorney

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

Claimant alleges representative recommended unsuitable investments

Broker Marilee Hill 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 Marilee Hill (Hill), currently associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hill 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 February 18, 2026.

Breach of fiduciary duty, negligence and gross negligence, misrepresentations and omissions, violation of FINRA rules, violation of federal securities laws, violation of state securities act and violation of Best Interest Obligations. Investment made in or around 2018.

There are Recent Customer Complaints with Broker Jason Comes in Firm Cetera Advisor Networks LLC

June 6, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jason Comes (Comes), previously associated with Cetera Advisor Networks LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Comes 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 $5,389.00 on February 11, 2026.

The client alleged he was not made of aware of additional capital contributions would be required to pay for fees and expenses of an alternative investment he purchased in June 2023.

There are Recent Customer Complaints with Broker James Poindexter in Firm Mcdermott Investment Services, LLC

June 6, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Poindexter (Poindexter), currently associated with Mcdermott Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Poindexter 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 $624,000.00 on February 19, 2026.

Claimants, experienced real estate investors, purchased 9 Delaware Statutory Trusts in 2021-2023, as part of several tax advantaged 1031 exchanges of their prior real estate investments. 3 of those DSTs are not performing to Claimants’ expectations. Accordingly, Claimant has made various allegations and legal claims related to suitability and due diligence with respect to those 3 DSTs. Allegations also include breach of fiduciary duty, negligence, misrepresentations, omissions, failure to supervise and breach of contract.

There are Recent Customer Complaints with Broker Bruce Beetz in Firm Emerson Equity LLC

June 6, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bruce Beetz (Beetz), currently associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Beetz 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 $251,875.00 on February 19, 2026.

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

Broker Larry Tolbert in Integrity Alliance, LLC. Firm Has Customer Complaint

June 6, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Larry Tolbert (Tolbert), currently associated with Integrity Alliance, LLC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Tolbert 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 $113,000.00 on February 18, 2026.

Customer alleges the Representative recommended the purchase of unsuitable, risky, illiquid, and complex unsecured debt securities through Representative's Registered Investment Adviser (RIA).

There are Recent Customer Complaints with Broker Burton Bartlett in Firm Landolt Securities, INC.

June 6, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Burton Bartlett (Bartlett), previously associated with Landolt Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Bartlett 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 $480,000.00 on February 10, 2026.

Claimant alleges unsuitability, material misrepresentations, concealment, negligence, and breach of fiduciary duty in connection with an investment made in GWG L Bonds at his PRIOR firm.