Articles Posted in Reg BI

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Todd Chaney (Chaney), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Chaney 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 $100,000.00 on November 24, 2025.

Claimants generally allege unsuitable investment recommendation, misrepresentations and omissions, breach of fiduciary duty and breach of contract.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Witkowski (Witkowski), currently associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Witkowski 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 $100,000.00 on November 14, 2025.

Claimant generally alleges over-concentration, misrepresentation, suitability, and breach of fiduciary duty.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Graham (Graham), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Graham 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 $375,000.00 on November 19, 2025.

10/01/2022 – Present Advisor fraudulently offered a short term loan note with 150% return

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Griffith (Griffith), currently associated with Lifemark Securities Corp., has at least one disclosable event. These events include one customer complaint, alleging that Griffith 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 $475,000.00 on November 19, 2025.

Allegations pertain to investments in alternative products intended to be a small component of a larger diversified portfolio. Investments were purchased from 03/2017 to 01/2021. Unfortunately, the company that issued one of the investments has since filed Chapter 11 bankruptcy. As a result, the client is alleging failure to perform due diligence, unsuitable recommendation, breach of contract/ fiduciary duty, and negligence.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Burks (Burks), currently associated with Centaurus Financial, INC., has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Burks 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 $80,000.00 on November 24, 2025.

The customer alleges that the Registered Representative recommended a speculative, illiquid investment. No specific dates for the alleged activity were identified in the Statement of Claim.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gregory Mcleod (Mcleod), currently associated with Newbridge Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Mcleod 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 $550,000.00 on November 24, 2025.

Breach of fiduciary duty, negligence, violation of reg bi, breach of contract, failure to supervise

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Austin Dutton (Dutton), previously associated with American Trust Investment Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Dutton 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 November 24, 2025.

Breach of contract, breach of fiduciary duty, failure to supervise, negligence, misrepresentation, violation of federal securities laws, and violation of reg bi.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Huppert (Huppert), currently associated with Cetera Wealth Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Huppert 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 $4,700,000.00 on November 24, 2025.

Claimant, the beneficiary of the trust accountholder, alleges an unsuitable investment strategy.

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

FINRA BrokerCheck shows a pending customer complaint on November 24, 2025.

Compensatory damages, breach of written contract, breach of fiduciary duty; negligence and gross negligence; misrepresentations and omissions, violation of FINRA rules; violation of the state securities acts and federal securities laws, violation of Best Interest Obligations. Purchases done between 01/2025 and 05/2025

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Roger Bowlin (Bowlin), currently associated with Aurora Securities, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Bowlin 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 November 24, 2025.

Claimant alleges unsuitable investment recommendation in a real estate securities investment.

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