Reg BI

Broker James Ratigan in Rockefeller Financial LLC / Seabrook Partners LLC Firm Has Customer Complaint

April 13, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on December 10, 2025.

Time Frame: November 2021 to December 14, 2024. What were the allegations against the individual – The client’s attorney alleges various misrepresentations. The client’s attorney further alleges that the representative failed to disclose outside business activities within the meaning of FINRA Rules.

There are Recent Customer Complaints with Broker Ralph Jackson in Firm Morgan Stanley

April 13, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ralph Jackson (Jackson), previously associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Jackson 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 $1,300,000.00 on November 21, 2025.

Clients alleged, among other things, that he was overcharged on his investments from 2019-2024.

There are Recent Customer Complaints with Broker Dean Nowak in Firm Newbridge Securities Corporation

April 13, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on November 24, 2025.

Client expressed concerns relating to the performance of certain investments she purchased.

Broker Raymond Lent in Arete Wealth Management, LLC Firm Has Customer Complaint

April 13, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Raymond Lent (Lent), currently associated with Arete Wealth Management, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lent 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 $75,000.00 on November 14, 2025.

Claimants claim Mr. Lent improperly supervised or failed to establish, maintain, and enforce adequate supervisory and written compliance procedures and policies related to the operations of Respondent Portsmouth and its registered representatives and agents.

Broker Ryan Arnold in LPL Financial LLC Firm Has Customer Complaint

April 12, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ryan Arnold (Arnold), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Arnold 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 $400,000.00 on January 05, 2026.

Customers claim representative recommended investment strategy in non-transparent, non-traded, complex products that were not in their best interests, and further claim that they were not properly advised on the potential tax consequences on the rollover of an annuity.

There are Recent Customer Complaints with Broker Garek Parry in Firm First Citizens Investor Services, INC.

April 12, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Garek Parry (Parry), currently associated with First Citizens Investor Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Parry 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 $27,781.00 on January 05, 2026.

Client alleges registered representative failed to follow instructions regarding a trade request. Activity dates 01/14/2026-02/04/2026.

There are Recent Customer Complaints with Broker John Schiro in Firm Raymond James & Associates, INC.

April 12, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Schiro (Schiro), currently associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Schiro 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 $225,000.00 on December 18, 2025.

On 12/18/2025, the firm received a written customer complaint against the advisor alleging various claims, including but not limited to unsuitable investments.

There are Recent Customer Complaints with Broker Marc Korsch in Firm Arkadios Capital

April 12, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Marc Korsch (Korsch), previously associated with Arkadios Capital, has at least one disclosable event. These events include one customer complaint, alleging that Korsch 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 $130,000.00 on January 06, 2026.

The customers allege that in August of 2019 and in April of 2020, the Registered Representative recommended unsuitable, complex, investments.

There are Recent Customer Complaints with Broker John Balmer in Firm Kingswood Capital Partners, LLC

April 12, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Balmer (Balmer), currently associated with Kingswood Capital Partners, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Balmer 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 $100,000.00 on December 22, 2025.

Claimant complains of the acts of Respondent, KINGSWOOD CAPITAL PARTNERS, JOHN B. BALMER, collectively referred to herein as Respondents. As Public Investors, Claimant invokes the jurisdiction of the FINRA Dispute Resolution Services Division to have this claim for an aggregate between $100,000 and $500,000, plus interest and costs, heard before a Panel of THREE

Broker Marguerite Moisio in Cetera Investment Services LLC Firm Has Customer Complaint

April 12, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Marguerite Moisio (Moisio), currently associated with Cetera Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Moisio 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 $12,000.00 on January 06, 2026.

Clients alleged they understood the advisory fees to be 1% for their three accounts; however, they were charged fees in excess of that amount from the inception of the accounts.