Reg BI

There are Recent Customer Complaints with Broker Robert Wynn in Firm Park Avenue Securities LLC

August 1, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Wynn (Wynn), previously associated with Park Avenue Securities LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Wynn 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 June 30, 2020.

Claimants allege the RR invested their money in unsuitable investments based on their stated investment objectives.

There are Recent Customer Complaints with Broker Jeffrey Cox in Firm Raymond James Financial Services, INC.

August 1, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Cox (Cox), currently associated with Raymond James Financial Services, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Cox 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 $24,000.00 on July 06, 2020.

Client claimed registered representative recommended an unsuitable high-yield bond.

There are Recent Customer Complaints with Broker Scott Barcomb in Firm Berthel, Fisher & Company Financial Services, INC.

August 1, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Scott Barcomb (Barcomb), currently associated with Berthel, Fisher & Company Financial Services, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Barcomb recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on July 06, 2020.

The client alleges the investments she purchased in 2014-2015 were high risk and not consistent with her risk tolerance. The client also alleges the firm failed to supervise the activity of the representative and failed to conduct adequate due diligence.

Broker Todd Ellentuck in Aegis Capital Corp. Firm Has Customer Complaint

August 1, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Todd Ellentuck (Ellentuck), previously associated with Aegis Capital Corp., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Ellentuck 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 $420,000.00 on July 06, 2020.

Time Frame: August 2017 – November 2018. Claimants allege negligence, breach of fiduciary duty, breach of contract, common law fraud

There are Recent Customer Complaints with Broker Randall Raciti in Firm Cetera Wealth Services, LLC

August 1, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Randall Raciti (Raciti), currently associated with Cetera Wealth Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Raciti 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 $37,227.84 on July 03, 2020.

Clients allege that due to a miscommunication error by registered representative in October 2019, funds were not reallocated as intended after their partial rollovers from their 403(b) accounts were done.

Broker Daniel Brunette in Cetera Advisors LLC Firm Has Customer Complaint

August 1, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Brunette (Brunette), currently associated with Cetera Advisors LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Brunette 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 $100,000.01 on July 01, 2020.

Claimant generally alleges unsuitability, due diligence, fraud and failure to supervise.

Broker Mark Starr in Edward Jones Firm Has Customer Complaint

July 31, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 04, 2020.

The client alleges she was not informed that FA was liquidating her annuity. Rather, she believes it was being moved into her EJ account to be managed.

Broker Douglas Domian in UBS Financial Services INC. Firm Has Customer Complaint

July 31, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 03, 2020.

Time Frame: January 24, 2020 to February 28, 2020 \<char_lb_r>\, \<char_lb_r>\, What were the allegations against the individual? \<char_lb_r>\, The client alleges his instructions to liquidate his account was not done and a lack of fiduciary responsibility to liquidate on a day when the market without contacting him. The alleged damages are estimated to be in excess of $5,000.00.

Broker Chad Thuner in Lincoln Investment Firm Has Customer Complaint

July 31, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Chad Thuner (Thuner), currently associated with Lincoln Investment, has at least one disclosable event. These events include one customer complaint, alleging that Thuner 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 $400,000.00 on March 05, 2020.

Breach of Fiduciary Duty, Misrepresentation, violation of Indiana State Securities Laws.

Broker David Ermlick in Center Street Securities, INC. Firm Has Customer Complaint

July 31, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Ermlick (Ermlick), previously associated with Center Street Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Ermlick 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 $250,000.00 on March 03, 2020.

Bought 5/30/2017–250,000.00 GPB—successor trustee filed arbitration for unsuitable