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

FINRA BrokerCheck shows a pending customer complaint on July 21, 2025.

Customer alleges that certain stocks in her portfolio were unsuitable.

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

FINRA BrokerCheck shows a pending customer complaint on July 14, 2025.

Breach of Fiduciary Duty; Aiding and Abetting; Negligence (Failure to Supervise). Violations of Georgia State Laws.

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

FINRA BrokerCheck shows a pending customer complaint on July 15, 2025.

The client alleges the financial advisor invested in a marijuana company against the client’s goals and preferences.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Randy Birkinbine (Birkinbine), currently associated with Ausdal Financial Partners, INC., has at least one disclosable event. These events include one customer complaint, alleging that Birkinbine 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 March 24, 2025.

Breach of written contracts; Breach of fiduciary duty; Failure to supervise; negligence and gross negligence.

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The law offices of Gana Weinstein LLP are currently investigating claims that Broker William Bredt (Bredt) has been accused by investors of engaging in fraudulent misappropriation of their funds. According to records kept by The Financial Industry Regulatory Authority (FINRA), it appears that Bredt was employed by Raymond James & Associates, INC. at the time of the activity.  If you have been a victim of Bredt’s alleged misconduct our firm may be able to assist you in recovering funds.

FINRA BrokerCheck shows a pending customer complaint on July 16, 2025.

Client alleges he relied on representations that failed to account for the alleged weakness and structural defects in private investment.

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

FINRA BrokerCheck shows a pending customer complaint on July 07, 2025.

December 4th, 2013 to July 3rd, 2025 What were the allegations against the individual? The trustee alleges that as a retiree and layperson, the client's best interest were breached with the recommendation to purchase the investment given the Fund's poor performance and illiquidity which posed a significant risk to her financial security. Further allegations state that advisor (had the obligation as a fiduciary) to clearly explain the risks, including the potential for prolonged lockup periods and the Fund's high-risk allocation strategy.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stefan Dolgoff (Dolgoff), previously associated with LPL Enterprise, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Dolgoff 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 $109,290.47 on July 09, 2025.

Customers allege they suffered losses as a result of unauthorized trading relating to a variable annuity in January 2025.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Pablo Paternina (Paternina), currently associated with Goldman Sachs & CO. LLC, has at least one disclosable event. These events include one customer complaint, alleging that Paternina 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 $925,000.00 on July 25, 2025.

The client alleged that the representative, who did not have discretionary authority, failed to follow instructions, act in accordance with the client’s investment objectives, and disclose the related risks with respect to the strategy employed, notwithstanding the trades being placed with the client’s consent in a client-directed brokerage account.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nicholas Yeros (Yeros), currently associated with Charles Schwab & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Yeros 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 $17,632.89 on August 13, 2025.

The client alleges in April 2025, the representative failed to follow his instructions regarding the execution of trades.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jonathan Hurm (Hurm), previously associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hurm 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 July 31, 2025.

Clients allege the RR misrepresented the terms of their variable life insurance policies purchased in 2021.

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