According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eric James (James), previously associated with Newbridge Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that James recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on April 07, 2021.
Suitability
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Farrar (Farrar), currently associated with PFS Investments INC., has at least one disclosable event. These events include one customer complaint, alleging that Farrar 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 $30,434.47 on August 17, 2022.
Customer alleges that I recommended Inappropriate funds for his investment objectives, causing him to suffer losses.
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Juan Uribe (Uribe), currently associated with PFS Investments INC., has at least one disclosable event. These events include one customer complaint, alleging that Uribe recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on August 13, 2025.
The customer alleged trade instructions were not timely submitted causing lost investment opportunity.
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Paul Peeler (Peeler), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Peeler 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 May 16, 2025.
Customer verbally alleged misrepresentation of annuity feature 8/15/2024-4/9/2025
Currently financial advisor Bryson Blackwell (Blackwell), currently employed by brokerage firm Realta Equities, INC. has been subject to at least one disclosable event. These events include one customer complaint. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments such as direct participation products (DPPs) like business development companies (BDCs), non-traded real estate investment trusts (REITs), oil & gas programs, annuities, and private placements. The attorneys at Gana Weinstein LLP have represented hundreds of investors who suffered losses caused by these types of high risk, low reward products.
FINRA BrokerCheck shows a pending customer complaint on December 10, 2025.
The claimants allege breach of its duties and obligations to claimants with recommendation to invest in real estate based Regulation D private placement.
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven Pusterla (Pusterla), previously associated with Tsg Capital Advisors, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Pusterla recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a final customer complaint on October 01, 2025.
Respondent Pusterla failed to respond to FINRA requests for information.
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nathaniel Higgins (Higgins), previously associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Higgins 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 $1,000,000.00 on November 24, 2025.
Claimants allege that unsuitable recommendations were made in a securitized real estate offering.
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Timothy Roark (Roark), previously associated with Valmark Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Roark 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 $100,000,000.00 on November 25, 2025.
Breach of Fiduciary Duty, Negligent Misrepresentation, Gross Negligence, and Unjust Enrichment
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andres Fernandez Salvador (Fernandez Salvador), previously associated with Charles Schwab & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Fernandez Salvador 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 $1,400,000.00 on December 11, 2025.
Brokers are required to adhere to the SEC’s Regulation Best Interest (Reg BI) standard of care under the Securities Exchange Act of 1934 which establishes a ‘best interest’ standard for broker-dealers and associated persons. Reg BI applies when brokers recommend a retail investor engage in securities transaction or an investment strategy involving one or more securities. Reg BI also applies to financial advice concerning the transfer of funds and opening of accounts. 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.
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Varshil Sanghavi (Sanghavi), previously associated with Newbridge Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Sanghavi recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on November 14, 2025.
Client has asserted that they suffered financial losses related to investment recommendations.
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