Reg BI

There are Recent Customer Complaints with Broker Ricky Meyer in Firm LPL Financial LLC

November 1, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ricky Meyer (Meyer), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Meyer 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 $8,397.17 on September 02, 2025.

Customer alleges that she was not informed of illiquid nature of REIT at time of purchase.

Broker Thomas Rohn in Moloney Securities Co., INC. Firm Has Customer Complaint

November 1, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Rohn (Rohn), currently associated with Moloney Securities Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Rohn 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 $100,000.00 on August 14, 2025.

Suitability/negligence. 2021

There are Recent Customer Complaints with Broker John Cutrone in Firm Aegis Capital Corp.

October 31, 2025 | by Staff Attorney

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

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

Time frame: Unspecified. Customers allege breach of fiduciary duty, unsuitable investments, material misrepresentations, material omissions, breach of FINRA rules and breach of contract on the part of Registered Representative in relation to the customers investments.

There are Recent Customer Complaints with Broker Travis Lippmann in Firm Spartan Capital Securities, LLC

October 31, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Travis Lippmann (Lippmann), currently associated with Spartan Capital Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lippmann 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 $607,052.00 on September 11, 2025.

Gross mishandling and unauthorized reallocaion of claimants portfolio philosphy

There are Recent Customer Complaints with Broker Loucas Kalliantasis in Firm Key Investment Services LLC

October 31, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Loucas Kalliantasis (Kalliantasis), currently associated with Key Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kalliantasis 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 $7,372.68 on September 09, 2025.

Client sent letter stating he did not realize he would be assessed a surrender charge when he exchanged his Protective Life fixed annuity to Nationwide Secure fixed annuity.

Broker Khin N Satt in Transamerica Financial Advisors, LLC Firm Has Customer Complaint

October 31, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Khin N Satt (Satt), currently associated with Transamerica Financial Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Satt 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 $16,238.61 on September 09, 2025.

Client alleged that rep misrepresented the product

There are Recent Customer Complaints with Broker Blake Scherr in Firm Merrill Lynch, Pierce, Fenner & Smith Incorporated

October 31, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Blake Scherr (Scherr), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Scherr 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 12, 2025.

Client alleges improper solicitation of an account from 9/2024 to 5/2025.

Broker George Smith in Emerson Equity LLC Firm Has Customer Complaint

October 31, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker George Smith (Smith), currently associated with Emerson Equity 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 on September 09, 2025.

Violation of Common Law Fraud, Breach of Fiduciary Duty, Negligence

There are Recent Customer Complaints with Broker Broc Wavra in Firm LPL Financial LLC

October 31, 2025 | by Staff Attorney

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

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

The client alleges that his advisor “forged” and misrepresented annuity paperwork.

There are Recent Customer Complaints with Broker John Noey in Firm Principal Securities, INC.

October 31, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on September 09, 2025.

The Trustee alleges the representative ceased providing advice and services, and his failure to act in the best interests of the Trust resulted in damages.