Reg BI

Broker Jeremiah Roman in PFS Investments INC. Firm Has Customer Complaint

April 13, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeremiah Roman (Roman), previously associated with PFS Investments INC., has at least one disclosable event. These events include one customer complaint, alleging that Roman 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 September 23, 2025.

Claimants, through counsel, allege that while jeremiah roman was associated with pfsi they gave money to roman to invest in an outside (non-pfsi) business not disclosed to pfsi.

Broker Juan Hernandez in PFS Investments INC. Firm Has Customer Complaint

April 13, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Juan Hernandez (Hernandez), currently associated with PFS Investments INC., has at least one disclosable event. These events include one customer complaint, alleging that Hernandez 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 $40,000.00 on December 09, 2025.

Customer alleges that I failed to follow his instructions and submit a trade for the transfer of funds from a money market fund to an equity fund position.

Broker Ryan Masters in Morgan Stanley Firm Has Customer Complaint

April 13, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ryan Masters (Masters), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Masters 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 $2,500,000.00 on December 05, 2025.

Claimant alleges negligence, gross negligence, breach of fiduciary duty, aiding and abetting fraud, aiding and abetting conversion, interference with inheritance, and violation of customs and standards of the securities industry.

There are Recent Customer Complaints with Broker Ryan Racine in Firm Hantz Financial Services, INC.

April 13, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ryan Racine (Racine), currently associated with Hantz Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Racine 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 $110,000.00 on November 17, 2025.

Financial Advisors providing advice to retail investors are required to adhere to the SEC’s Regulation Best Interest (Reg BI). Reg BI applies a ‘best interest’ standard for broker-dealers and their associated people. This standard applies when brokers make recommendations to retail customer for any securities transaction or investment strategy involving securities, including recommendations of types of accounts. This standard applies when a registered representative is providing investment advice through making recommendations customers and covers securities transaction, investment strategies, and recommendations concerning advice on opening of an account or accounts.

There are Recent Customer Complaints with Broker Frank Tenteromano in Firm J.P. Morgan Securities LLC

April 13, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Frank Tenteromano (Tenteromano), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Tenteromano 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 $268,354.69 on July 24, 2025.

Customer alleges unsuitable investment recommendation. Activity dates December 2021 to July 2023.

There are Recent Customer Complaints with Broker Leonard Gilroy Solano in Firm Cetera Financial Specialists LLC

April 13, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Leonard Gilroy Solano (Gilroy Solano), previously associated with Cetera Financial Specialists LLC, has at least one disclosable event. These events include one customer complaint, alleging that Gilroy Solano 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 $600,000.00 on September 25, 2025.

Complainant alleges the decedent was influenced in their beneficiary selection, including naming their advisor as one of the beneficiaries.

There are Recent Customer Complaints with Broker Vaden Shasteen in Firm Nobles & Richards, INC.

April 13, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Vaden Shasteen (Shasteen), previously associated with Nobles & Richards, INC., has at least one disclosable event. These events include one customer complaint, alleging that Shasteen 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 $7,676,900.00 on October 09, 2025.

Claims unsuitable recommendations

Broker Dan Werry in Emerson Equity LLC Firm Has Customer Complaint

April 13, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on October 31, 2025.

Breach of contract and warranties, promissory estoppel; violation of fraud and estate securities statutes and the deceptive practices act (DTPA); claims under common law; vicarious liability;

Broker Tammie Farrell in Capital Investment Group, INC. Firm Has Customer Complaint

April 13, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Tammie Farrell (Farrell), currently associated with Capital Investment Group, INC., has at least one disclosable event. These events include one customer complaint, alleging that Farrell 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 June 06, 2025.

GWG Holdings, Inc. filed Chapter 11 bankruptcy on April 20, 2022. Relative to specific investments made by clients, claims include violations of federal securities laws, violations of SC Securities Act, violation of NC Securities Act, breach of contract, common law fraud, breach of fiduciary duty and, negligence and gross negligence. \, The claimants on the arbitration were comprised of Junior R. Roberts, the client of this representative, Tammie Farrell, as well as clients of another representative who is not associated with Ms. Farrell in any way. The alleged damage amount for Mr. Roberts, specifically, was $50,000. The damage amount for the other clients was $200,000.

There are Recent Customer Complaints with Broker Kevin Adam in Firm LPL Financial LLC

April 13, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Adam (Adam), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Adam 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 $40,000.00 on October 13, 2025.

Claimant generally alleges misrepresentation and breach of fiduciary duty.