Articles Posted in Reg BI

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

FINRA BrokerCheck shows a pending customer complaint on April 08, 2026.

Time Frame: March 14th, 2025 –  to March 17th, 2025\, \, What were the allegations against the individual? The client alleges that the trades in his account were executed contrary to the explicit written instructions set forth in his 10b5-1 plan.\,

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joshua Chapin (Chapin), currently associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Chapin 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 April 10, 2026.

Negligence, Breach of fiduciary duty,

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Whiting (Whiting), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Whiting 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 $250,000.00 on April 10, 2026.

Client alleges misrepresentation, suitability, and unauthorized trading.

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

FINRA BrokerCheck shows a pending customer complaint on April 08, 2026.

Claimant alleges that in an unspecified timeframe, the FA induced them into investing funds into a business owned by the FA.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Whiting (Whiting), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Whiting 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 $250,000.00 on April 10, 2026.

Client alleges misrepresentation, suitability, and unauthorized trading.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Benjamin Carmona (Carmona), currently associated with Realta Equities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Carmona 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 $200,000.00 on April 07, 2026.

Breach of written contract, breach of fiduciary duty, negligence and gross negligence, misrepresentations and omissions, violation of FINRA rules, violation of Texas Securities Act and federal securities laws, and violation of Best Interest Obligations.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Scott Barber (Barber), currently associated with Cambridge Investment Research, INC., has at least one disclosable event. These events include one customer complaint, alleging that Barber 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 $5,000.00 on April 10, 2026.

Customer alleges that a February 2026 recommendation to exchange a variable annuity to a fixed index annuity was unsuitable.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Mayer (Mayer), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Mayer 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 $10,000.00 on April 08, 2026.

Client alleges Chevron and Exxon were sold without their knowledge or permission.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Bryant (Bryant), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Bryant 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 $5,000,000.00 on April 09, 2026.

Customers allege financial professional mismanaged portfolio causing a substantial reduction in its value. Customer further alleges that financial professional failed to follow trading instructions, charged excessive advisory fees, and made poor recommendations in various products, including collateralized non-purpose loans and treasuries.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lance Smith (Smith), currently associated with LPL Financial 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 with a damage request of $23,074.32 on April 13, 2026.

Customer alleges violation of Reg BI

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