Articles Posted in Reg BI

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

FINRA BrokerCheck shows a pending customer complaint on March 10, 2026.

Claimant alleges, inter alia, that the investment strategy executed in the client’s account was unsuitable Dec 2000 – Sep 2021

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dory Adoracion Jacinto (Jacinto), currently associated with LPL Enterprise, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Jacinto 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 $9,807.47 on March 11, 2026.

Customer alleges unauthorized trade activity, and issues with unsuitable investments in February 2026.

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

FINRA BrokerCheck shows a pending customer complaint on March 11, 2026.

Claimant alleges, inter alia, unsuitability and poor recommendation in connection with the investment strategy implemented in the client’s account – Oct 2020 to Dec 2025.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jackson Weinzatl (Weinzatl), currently associated with the Huntington Investment Company, has at least one disclosable event. These events include one customer complaint, alleging that Weinzatl 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 $5,000.00 on March 13, 2026.

Clients allege that the RR did not properly follow their instructions to exchange part of their assets from a variable annuity contract to a new fixed annuity contract in December 2025, which caused tax ramifications.

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

FINRA BrokerCheck shows a pending customer complaint on March 12, 2026.

Client alleges misrepresentation of certain private equity investments from November 2018 through January 2022.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gabriel Candea (Candea), currently associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Candea 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 $320,000.00 on March 11, 2026.

Breach of contract; violation of securities laws and Regulation Best Interest. Purchase made in or around 2022

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

FINRA BrokerCheck shows a pending customer complaint on March 11, 2026.

The client alleges that registered representative failed to act in her best interest from September 2023 through September 2024 related to a change in share class.

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

FINRA BrokerCheck shows a pending customer complaint on March 12, 2026.

Time Frame: August 15th, 2011 to February 12th,, 2026 What were the allegations against the individual: The client alleges that their financial advisor misrepresented their managed account fees and she was overcharged.

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

FINRA BrokerCheck shows a final customer complaint on March 13, 2026.

Respondent Tunink failed to respond to FINRA requests for information.

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