Reg BI

There are Recent Customer Complaints with Broker Marty Dennis in Firm LPL Financial LLC

January 27, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Marty Dennis (Dennis), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Dennis 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 August 16, 2021.

Customer alleges that his representative recommended investments in the Northstar Healthcare Income Fund and FS Energy & Power Fund in the 2014-2016 time period that were unsuitable for the customer’s investment profile and risk tolerance. The customer further asserts that he was misled about the risks and other pertinent details about the nature of the investments.

There are Recent Customer Complaints with Broker William Wright in Firm National Securities Corporation

January 27, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Wright (Wright), previously associated with National Securities Corporation, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Wright recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on August 19, 2021.

Without admitting or denying the findings, Wright consented to the sanction and to the entry of findings that he refused to provide information and documents requested by FINRA in connection with its investigation into the facts surrounding his termination from his member firm. The findings stated that this matter originated from the Uniform Termination Notice for Securities Industry Registration (Form U5) filed by Wright’s firm reporting that he was terminated as a result of him borrowing money from a customer of the firm.

Broker Robert Courser in Kalos Capital, INC. Firm Has Customer Complaint

January 27, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on August 18, 2021.

Unsuitable recommendations

There are Recent Customer Complaints with Broker Svetlana Arzhelik in Firm Citigroup Global Markets INC.

January 27, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Svetlana Arzhelik (Arzhelik), previously associated with Citigroup Global Markets INC., has at least one disclosable event. These events include one customer complaint, alleging that Arzhelik 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 August 16, 2021.

Plaintiff alleges negligence breach of fiduciary duty unauthorized trading, elder abuse and failure to supervise beginning in 2017

Broker Uriel Acevedo in PFS Investments INC. Firm Has Customer Complaint

January 27, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on August 12, 2021.

STATEMENT OF CLAIM ALLEGES, PRIOR TO DEATH, REP BORROWED MONEY FROM CUSTOMER WHO HAS NOT BEEN FULLY REPAID.

Broker Jeffrey Ingros in Raymond James Financial Services, INC. Firm Has Customer Complaint

January 27, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Ingros (Ingros), previously associated with Raymond James Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Ingros 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 $28,000.00 on August 19, 2021.

The customer alleges unsuitable investment recommendations, misrepresentations and omissions of material fact .

Broker Andre Labarbera in Titus Rockefeller, LLC Firm Has Customer Complaint

January 27, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andre Labarbera (Labarbera), previously associated with Titus Rockefeller, LLC, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Labarbera recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on August 20, 2021.

Respondent Labarbera failed to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA request to provide information concerning the status of compliance.

Broker Shawn Fischer in Nylife Securities LLC Firm Has Customer Complaint

January 27, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on August 21, 2021.

Customer alleges that documentation used as part of his 1035 exchange from TransAmerica to fund his immediate annuity in July 2021, contain initials that are not his.

There are Recent Customer Complaints with Broker Craig Hacker in Firm Merrill Lynch, Pierce, Fenner & Smith Incorporated

January 27, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Craig Hacker (Hacker), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Hacker 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 $485,149.00 on August 23, 2021.

Client alleges that registered representative made unsuitable recommendations and misrepresented or failed to disclose the nature/risks of certain investments and failed to follow instructions for a stop-loss order from June 1, 2016 to June 30, 2022.

Broker Robert Fratesi in Arete Wealth Management, LLC Firm Has Customer Complaint

January 27, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Fratesi (Fratesi), previously associated with Arete Wealth Management, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Fratesi 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 $500,000.00 on August 23, 2021.

Client alleges unsuitable investment recommendations in August 2016.