Reg BI

Broker Kevin Mccallum in LPL Financial LLC Firm Has Customer Complaint

February 7, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Mccallum (Mccallum), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mccallum 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 $378,000.00 on November 25, 2025.

Customers allege recommended unsuitable investments in Medley Capital Corporation that between 2015 and 2019.

Broker Randall Duggan in Berthel, Fisher & Company Financial Services, INC. Firm Has Customer Complaint

February 6, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Randall Duggan (Duggan), currently associated with Berthel, Fisher & Company Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Duggan 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 $101,000.00 on December 11, 2025.

Suitability/negligence 2020

There are Recent Customer Complaints with Broker Michael Montalvo in Firm Raymond James & Associates, INC.

February 6, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Montalvo (Montalvo), previously associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Montalvo 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 $189,500.00 on December 11, 2025.

Client alleged Financial Advisor took an undisclosed loan and failed to repay. Allegation Activity Date: 05/02/2024 – 12/11/2025.

There are Recent Customer Complaints with Broker John Hebner in Firm Moloney Securities Co., INC.

February 6, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Hebner (Hebner), previously associated with Moloney Securities Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Hebner 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 $225,000.00 on December 11, 2025.

Suitability/negligence. 2021

There are Recent Customer Complaints with Broker Peter Po in Firm Emerson Equity LLC

February 6, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on December 08, 2025.

Breach of contract and warranties, promissory estoppel; consumer protection and deceptive trade practices act; violations of securities statutes; breach of fiduciary duty; vicarious liability; violation of Regulation Best Interest

There are Recent Customer Complaints with Broker Michael Regan in Firm Morgan Stanley

February 6, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Regan (Regan), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Regan 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 $2,497,430.74 on December 09, 2025.

Claimants allege, inter alia, unsuitability with respect to account management and investments from Jan 2018 to October 2025.

Broker Stephen White in Rockefeller Financial LLC Firm Has Customer Complaint

February 6, 2026 | by Staff Attorney

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

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

Time Frame: November 1st, 2019 to October 11th, 2021\, \, What were the allegations against the individual \\u2013 The client\\u2019s attorney alleges financial advisor did not act in the client\\u2019s best interest, unsuitable recommendations and made various misrepresentations. The client\\u2019s attorney further alleges that the financial advisor failed to disclose outside business activities within the meeting of FINRA Rules.\,

There are Recent Customer Complaints with Broker Bruce Feldman in Firm Nylife Securities LLC

February 6, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bruce Feldman (Feldman), currently associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Feldman 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 $12,000.00 on December 05, 2025.

Customer alleges he was not informed of the fluctuating internal charges and a significant risk of lapse when he purchased a variable universal life policy in May 2022.

There are Recent Customer Complaints with Broker Matthew Augugliaro in Firm Allstate Financial Services, LLC

February 6, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Augugliaro (Augugliaro), currently associated with Allstate Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Augugliaro 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 $195,050.05 on December 10, 2025.

This is a second complaint received 12/10/2025 originating from the same matter received 11/14/2025 in which the firm denied the first complaint on 12/5/2025. This second complaint from the customer requests a full rescission of her variable annuity with a return of the premium without surrender charges due to allegations of falsification of books and records and potential fraudulent misrepresentation or omission of financial suitability information.

There are Recent Customer Complaints with Broker Connie Gambatese in Firm Wells Fargo Clearing Services, LLC

February 6, 2026 | by Staff Attorney

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

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

The client complains that the Financial Advisor failed to provide suitable advice in line with the objective of capital preservation related to liquidation of the portfolio. (1/9/2025 – 3/11/2025)