Securities Lawyers Blog

There are Recent Customer Complaints with Broker Dominick Greco in Firm LPL Financial LLC

July 6, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dominick Greco (Greco), previously associated with LPL Financial LLC, has at least 4 disclosable events. These events include 4 customer complaints, alleging that Greco 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 $100,000.00 on July 22, 2020.

Claimant alleges that she desired to purchase safe investments, but instead was placed in Northstar Real Estate Investment II and FS Investment Corp. Claimant contends that those investments were unsuitable and that she suffered losses “approaching $100,000” because the value of the subject investments allegedly had declined. Activity period 1/2015 – 7/2020.

There are Recent Customer Complaints with Broker Michael Palumbos in Firm Osaic Wealth, INC.

July 6, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Palumbos (Palumbos), currently associated with Osaic Wealth, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Palumbos recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on July 26, 2020.

The clients allege the RR provided a poor recommendation in regard to surrendering four annuities in May of 2019, as the resulting tax impact was greater than expected.

Broker Bart Bohrer in Calton & Associates, INC. Firm Has Customer Complaint

July 6, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bart Bohrer (Bohrer), currently associated with Calton & Associates, INC., has at least 3 disclosable events. These events include 3 customer complaints, alleging that Bohrer recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a award / judgment customer complaint with a damage request of $489,681.94 on July 27, 2020.

Clients allege Breach of Fiduciary Duties, violations of Georgia Uniform Securities Act, Breach of Contract, Negligence date range is from 05/2013 – 06/2017

Broker Charles Davis in Allstate Financial Services, LLC Firm Has Customer Complaint

July 6, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on July 28, 2020.

Customer alleges she told the RR that she needed to remain in the money market for liquidity. The RR recommended the customer invest in a UIT and when she needed to withdraw funds, she had to liquidate the holdings and uncured a loss.

There are Recent Customer Complaints with Broker Farrukh Kazmi in Firm Berthel, Fisher & Company Financial Services, INC.

July 6, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Farrukh Kazmi (Kazmi), currently associated with Berthel, Fisher & Company Financial Services, INC., has at least 4 disclosable events. These events include 4 customer complaints, alleging that Kazmi 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 $350,000.00 on July 24, 2020.

The clients allege the investments they purchased between 2013-2014 were unsuitable and misrepresented to them by the representative. The clients also allege the firm failed to supervise the actions of the representative and failed to conduct adequate due diligence.

There are Recent Customer Complaints with Broker Robert Davenport in Firm Girard Securities, INC.

July 6, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Davenport (Davenport), previously associated with Girard Securities, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Davenport 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 $500,000.00 on July 23, 2020.

Customer alleged that the investment adviser did not disclose that the investments at issue here could not be liquidated.

There are Recent Customer Complaints with Broker Mark Pitman in Firm Alexander Capital, L.p.

July 6, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Pitman (Pitman), currently associated with Alexander Capital, L.p., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Pitman recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on July 23, 2020.

Suitability

There are Recent Customer Complaints with Broker Eric Harding in Firm United Planners’ Financial Services of America A Limited Partner

July 6, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eric Harding (Harding), previously associated with United Planners’ Financial Services of America A Limited Partner, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Harding 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 $60,000.00 on July 22, 2020.

Mr. Harding failed to execute a sell order that resulted in loses to a Client account.

There are Recent Customer Complaints with Broker Timothy Long in Firm Cetera Wealth Services, LLC

July 6, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Timothy Long (Long), currently associated with Cetera Wealth Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Long 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 $33,000.00 on July 28, 2020.

Client is concerned regarding investment performance, cost, and lack of liquidity regarding investments purchased in 2013.

Broker James Hill in Blackstone Advisory Partners L.p. Firm Has Customer Complaint

July 6, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Hill (Hill), previously associated with Blackstone Advisory Partners L.p., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Hill recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on July 29, 2020.

The lawsuit concerns Kentucky Retirement Systems’ investment in a Blackstone-managed fund and alleges a variety of state law claims.