Securities Lawyers Blog

There are Recent Customer Complaints with Broker Robert Rumley in Firm William Blair

July 10, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Rumley (Rumley), currently associated with William Blair, has at least one disclosable event. These events include one customer complaint, alleging that Rumley 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 $1,500,000.00 on August 31, 2023.

CLIENT ALLEGES, INTER ALIA, THAT HER ACCOUNTS WERE NOT MANAGED IN HER BEST INTERESTS 2013-2021

There are Recent Customer Complaints with Broker Eszylfie Taylor in Firm Cetera Advisor Networks LLC

July 10, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eszylfie Taylor (Taylor), previously associated with Cetera Advisor Networks LLC, has at least one disclosable event. These events include one customer complaint, alleging that Taylor 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 $150,000.00 on August 30, 2023.

Misrepresentation and omission of material fact concerning two investments is alleged.

There are Recent Customer Complaints with Broker Gregory Lourdin in Firm Newbridge Securities Corporation

July 10, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gregory Lourdin (Lourdin), currently associated with Newbridge Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Lourdin 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 $58,000.00 on August 31, 2023.

SUITABILITY, FAILURE TO SUPERVISE AND NEGLIGENCE.

There are Recent Customer Complaints with Broker Michael Battalini in Firm World Capital Brokerage, INC.

July 10, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Battalini (Battalini), previously associated with World Capital Brokerage, INC., has at least one disclosable event. These events include one customer complaint, alleging that Battalini 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 $300,000.00 on August 30, 2023.

Claimant alleges unsuitable investments.

There are Recent Customer Complaints with Broker Mark Elias in Firm UBS Financial Services INC.

July 10, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Elias (Elias), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Elias 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 $700,000.00 on September 01, 2023.

Time frame: 2016-2020\, \, Allegations: Claimant alleges unsuitability and misrepresentation with respect to recommendations to invest in and hold an options overlay strategy.

Broker Mona Fahmy in Cetera Investment Services LLC Firm Has Customer Complaint

July 10, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mona Fahmy (Fahmy), previously associated with Cetera Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Fahmy 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 $45,000.00 on September 05, 2023.

Claimant’s purported attorney references amount invested in product.

There are Recent Customer Complaints with Broker Terri Fassi in Firm Centaurus Financial, INC.

July 10, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Terri Fassi (Fassi), currently associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Fassi 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 $50,000.00 on September 01, 2023.

The customer alleges that in September of 2019, the Registered Representative recommended a high-risk, speculative, complex, illiquid investment and breached her fiduciary duty.

There are Recent Customer Complaints with Broker Andrew Pravlik in Firm World Capital Brokerage, INC.

July 10, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andrew Pravlik (Pravlik), previously associated with World Capital Brokerage, INC., has at least one disclosable event. These events include one customer complaint, alleging that Pravlik 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 $300,000.00 on August 30, 2023.

Claimant alleges unsuitable investments.

Broker Frank Kuiper in Concorde Investment Services, LLC Firm Has Customer Complaint

July 10, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on September 01, 2023.

Customer alleges violation of California Common Law Fraud, Breach of Fiduciary Duty, Negligence and Negligent Failure to Supervise relating to the investments made on 08/31/2020.

There are Recent Customer Complaints with Broker Aubrey Lee in Firm Merrill Lynch, Pierce, Fenner & Smith Incorporated

July 10, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Aubrey Lee (Lee), previously associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Lee 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 $122,977.00 on August 30, 2023.

Customer alleges unsuitable investment recommendations from 2010 through 2022.