Articles Posted in Reg BI

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Milka Micic (Micic), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Micic 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 $10,000,000.00 on April 15, 2026.

Customer alleges failure to follow instructions regarding a managed account. Activity dates 03/2025 – 04/2025.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Neil Butler (Butler), currently associated with Wells Fargo Advisors Financial Network, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Butler 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 $31,250.00 on April 13, 2026.

The client complains that the financial advisor made unsuitable recommendations regarding the fee structure of the share classes sold. (1/25/2018-1/14/2026)

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Tracy Helmer (Helmer), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Helmer 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 $13,000.00 on April 16, 2026.

Customer alleges Reg BI violations

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Wayne Golightly (Golightly), previously associated with Pinnacle Investments, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Golightly 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 April 17, 2026.

Customer alleges he was solicited to transfer assets to the firm, then was recommended speculative biotech securities. As the positions declined, he alleges firm representatives repeatedly told him to continue holding rather than sell. Claims include unsuitable recommendations, overconcentration, misrepresentations/omissions, negligence, breach of fiduciary duty, breach of contract, and failure to supervise.

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

FINRA BrokerCheck shows a pending customer complaint on April 16, 2026.

Customer alleges that from November 2023 through January 2024, they were the victims of a complex scam and the representative failed to uncover and stop the scam.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Kelly (Kelly), currently associated with Cetera Wealth Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kelly 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 $150,000.00 on April 17, 2026.

Customer alleges the investments they purchased were not suitable.

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

FINRA BrokerCheck shows a pending customer complaint on April 14, 2026.

Plaintiff alleged claim against RK Retirement Solutions, LLC & Robert Kromer of the following: Negligence, Fraud, Misrepresentation, and Negligent Misrepresentation for specific assets that the plaintiff alleges he was unaware of the risk, illiquid portion of investments and bankruptcy of one of the companies from investments made in 2017, Alleges that RK Retirement Solutions & Robert Kromer tried to misrepresent specific assets to him.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Lerner (Lerner), currently associated with David Lerner Associates, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Lerner 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 $380,000.00 on April 14, 2026.

Unsuitability

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Timothy Tremblay (Tremblay), currently associated with Centaurus Financial, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Tremblay 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 $105,000.00 on April 17, 2026.

The customer alleges that in August of 2020, the Registered Representative recommended an unsuitable, high-risk, and illiquid investment.

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

FINRA BrokerCheck shows a settled customer complaint on August 19, 2020.

Customer complains about illiquidity of business development company, alleges that representative’s recommendation of business development company was unsuitable, and that his net worth was incorrectly stated on the account paperwork. Alleged activity dates are 7/24/14 – 7/24/14

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