Articles Posted in Reg BI

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Strnad (Strnad), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Strnad 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 $37,314.43  on March 12, 2020.

The client alleges the financial advisor failed to disclose a\<char_lb_r>\, contingent deferred sales charge associated with the liquidation\<char_lb_r>\, of mutual funds in his account on 3/9/2020.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jerry Bileski (Bileski), currently associated with Revere Securities LLC / IBN Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Bileski 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 $1,025,551.00  on March 11, 2020.

Failure to Supervise. Dates of activity vary among Claimants, but total date range is June 2015 through December 2019.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jose Casellas (Casellas), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Casellas recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on March 11, 2020.

The Customer alleges misrepresentation and unsuitable investment recommendations from 2012 until 2013.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Xavier Felipe (Felipe), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Felipe 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 $93,531.23  on March 12, 2020.

Claimant alleges unsuitable investments, breach of fiduciary duty, violation of FINRA Rule 2090, and violation of FINRA Rule 2010.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Carmen Trigo Suarez (Trigo Suarez), previously associated with Santander Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Trigo Suarez 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 $1,321,566.62  on March 10, 2020.

Client’s allege unsuitability, over-concentration, failure to supervise, aiding and abetting, fraudulent concealment, violations of securities laws and rules, fraud, deceit, recklessness, negligence, breach of fiduciary duties, and violations of PR contract law (Puerto Rico bonds and closed-end funds). Includes request for rescission, interest, fees, costs, and disgorgement of commission and fees.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bruce Godke (Godke), previously associated with Mutual Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Godke 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 $200,000.00  on March 10, 2020.

Alleged violation of Kansas Uniform Securities Act for prohibited conduct in providing investment advice.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Byrne (Byrne), previously associated with Stoever, Glass & Company INC., has at least one disclosable event. These events include one customer complaint, alleging that Byrne 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 $50,000.00  on March 11, 2020.

2016 -2019 client alleges that she was sold energy bonds that were not aligned with her objectives

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Margarita Figueroa (Figueroa), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Figueroa 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 $2,000,000.00  on March 09, 2020.

The customer alleges unsuitable investment recommendations and misrepresentations.

Continue Reading

| by

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

FINRA BrokerCheck shows a settled customer complaint on March 10, 2020.

Customer complaint was not previously disclosed on the Front end because it did not meet the firms criteria for re-portability. Currently being disclosed because of Settlement amount of $47,829.30.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Tracy Stines (Stines), previously associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Stines 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 $15,200.00  on March 11, 2020.

The client alleged the FA did not follow his instructions to liquidate a mutual fund.

Continue Reading
Contact Information
295 Madison Ave #705
New York, NY 10017
Toll Free: 800-810-4262
3706 N Greenview Ave
#100
Chicago, IL 60613
28 Valley Rd
#1
Montclair, NJ 07042
ATTORNEY ADVERTISING

Please do not include any confidential or sensitive information in a contact form, text message, or voicemail. The contact form sends information by non-encrypted email, which is not secure. Submitting a contact form, sending a text message, making a phone call, or leaving a voicemail does not create an attorney-client relationship.

Copyright © 2026, Gana Weinstein LLP
JUSTIA Law Firm Blog Design