Articles Posted in Reg BI

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Damien Martinez (Martinez), currently associated with Principal Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Martinez 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 $6,680.00 on March 06, 2026.

The client alleged that the registered representative did not enter his trade orders as requested.

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

FINRA BrokerCheck shows a pending customer complaint on March 09, 2026.

Breach of contract, violation of state securities statutes, Violation of Regulation Best Interest, vicarious liability, breach of fiduciary duty

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

FINRA BrokerCheck shows a pending customer complaint on March 09, 2026.

Breach of contract, violation of state securities statutes, Violation of Regulation Best Interest, vicarious liability, breach of fiduciary duty

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kirk Badii (Badii), currently associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Badii 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 $3,000,000.00 on March 05, 2026.

Statement of Claim alleges concerns regarding the handling of the Claimant’s investment accounts and related loan activity.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeremy Friedman (Friedman), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Friedman 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 $89,964.00 on March 04, 2026.

Executrix alleges advisor failed to inform client that an investment strategy  recommendation would result in significant capital gains and possible tax consequences.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alfredo Banuelos (Banuelos), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Banuelos 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 $96,914.37 on March 06, 2026.

Claimant claims unauthorized trading regarding managed account investment. Activity dates December 2020 – June 2025.

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

FINRA BrokerCheck shows a pending customer complaint on March 09, 2026.

Purchased DST as part of a 1031 tax-deferred exchange. Claimant alleges a lack of suitability and due diligence, breach of contract and fiduciary duty, among other claims. Purchase dates of investments include May 2, 2022, and May 31, 2022.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Phillips (Phillips), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Phillips 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 $9,712.00 on March 06, 2026.

Customer alleges unsuitable investments in February 2025.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Chan (Chan), currently associated with Citigroup Global Markets INC., has at least one disclosable event. These events include one customer complaint, alleging that Chan 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 $550,000.00 on March 04, 2026.

Claimant alleges unsuitability; violations of California’s Blue Sky law; negligence; failure to supervise; failure to act in claimant’s best interest; use of manipulative, deceptive, or other fraudulent devices; breach of fiduciary duty; and breach of contract.

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

FINRA BrokerCheck shows a pending customer complaint on March 05, 2026.

Client alleges, inter alia, that the recommendation to invest in an alternative investment fund was unsuitable 2008 damages unspecified

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