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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Janet Franco Gordon (Franco Gordon), currently associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Franco Gordon 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 $1,475,256.00 on May 29, 2025.

Claimant alleges, inter alia, that the recommendation for the client to establish a line of credit at Morgan Stanley in order to generate funds for an outside investment they wanted to make was not in their best interests. Allegation Activity Dates: June 2023 to July 2023.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Hadden (Hadden), currently associated with Stifel, Nicolaus & Company, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Hadden 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 $1,626,116.07 on June 02, 2025.

Claimants allege breach of professional and fiduciary duties, breach of contract and violation of FINRA Rules, Consumer Protection Act, unjust enrichment, and failure to respond to reasonable inquiry.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Dobbs (Dobbs), currently associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Dobbs 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 June 02, 2025.

The customer alleges that in October of 2020, the Registered Representative misrepresented and recommended an unsuitable, illiquid investment.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Panno (Panno), currently associated with Buckman, Buckman & Reid, INC., has at least one disclosable event. These events include one customer complaint, alleging that Panno 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 $2,250,000.00 on June 05, 2025.

Failure to supervise

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Melissa Spickler (Spickler), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Spickler 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 $350,000.00 on May 29, 2025.

The claimant alleges unsuitable investment strategy and failure to follow instructions from 2020 to 2025.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Hedgspeth (Hedgspeth), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Hedgspeth 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 $30,216.00 on July 18, 2023.

Customer alleges poor recommendation/advice and misrepresentation in 2022, resulting in high tax implications.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Linett Batiste (Batiste), currently associated with Charles Schwab & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Batiste 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 $109,820.00 on July 20, 2023.

The client alleges misleading information was provided regarding CD interest rates.

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

FINRA BrokerCheck shows a settled customer complaint on July 19, 2023.

The client alleges her former advisor recommended she transfer funds from her employer sponsored plans to a managed account without mentioning that the income from one of the plans is tax exempt from NY state. She claims the formerly tax-exempt income from the retirement account was made taxable when commingled with the other plan which has caused her city and state tax obligations to increase each year since 2019. She asks to be compensated.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ihab Elibiary (Elibiary), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Elibiary 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 $49,051.00 on July 20, 2023.

Client, through counsel, alleges misrepresentation regarding variable annuity investment. Activity dates 4.25.22 – 4.10.23.

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

FINRA BrokerCheck shows a settled customer complaint on July 20, 2023.

The customer alleges unauthorized trading in account from July 2021 to April 2023

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