Securities Lawyers Blog

Broker Nir Regev in Dfpg Investments, LLC Firm Has Customer Complaint

October 18, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nir Regev (Regev), currently associated with Dfpg Investments, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Regev 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 $278,680.61 on April 19, 2023.

Client alleges illiquid investments are not suitable nor prudent.

Broker Dean Paugh in Raymond James & Associates, INC. Firm Has Customer Complaint

October 18, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dean Paugh (Paugh), currently associated with Raymond James & Associates, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Paugh 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 $54,770.50 on April 18, 2023.

The client alleges investments were not suitable.

There are Recent Customer Complaints with Broker Stephen Colantuono in Firm Osaic Wealth, INC.

October 18, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on January 26, 2024.

Claimants alleged that the Representative recommended a Real Estate Investment Trust that was unsuitable, and resulted in a substantial loss. Claimants further alleged that Representative misrepresented the risks and potential for future income.

Broker Larry Clayton in Arete Wealth Management, LLC Firm Has Customer Complaint

October 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Larry Clayton (Clayton), previously associated with Arete Wealth Management, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Clayton 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 $312,000.00 on February 01, 2024.

In 2024, a customer filed an arbitration claim with the American Arbitration Association.\\u00a0 The statement of claim alleged violations of state securities statues, consumer protection laws, and common law claims.\\u00a0 The matter was resolved though settlement without any admission of liability and the arbitration was dismissed with prejudice in 2025.

There are Recent Customer Complaints with Broker Clark Owen in Firm Cetera Investment Services LLC

October 17, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on January 26, 2024.

Claimant alleged that the Representative recommended a Real Estate Investment Trust that resulted in a substantial loss. Claimant further alleged that the Representative misrepresented the risks and potential for future income and growth.

Broker Shao Tsung Tseng in Independent Financial Group, LLC Firm Has Customer Complaint

October 17, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on January 26, 2024.

Claimant alleged that the Representative recommended multiple alternative investment products that resulted in substantial losses. Claimant further alleged that the Representative misrepresented the safety of the products.

There are Recent Customer Complaints with Broker Philip Chao in Firm Cetera Wealth Services, LLC

October 17, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on January 26, 2024.

Claimants alleged that the Representative recommended multiple Real Estate Investment Trust products that were unsuitable, and resulted in a substantial loss. Claimants further alleged that the Representative misrepresented the risks and potential for future income and growth.

Broker Wesley Frierson in Osaic Wealth, INC. Firm Has Customer Complaint

October 17, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on January 26, 2024.

Claimant alleged that the Representative recommended multiple alternative investment products that result in substantial losses. Claimant further alleged that the Representative misrepresented the risks and potential for future income and growth.

There are Recent Customer Complaints with Broker Joshua Rayhons in Firm Cetera Wealth Services, LLC

October 17, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on January 26, 2024.

Claimant alleged that the Representative recommended multiple alternative investment products that resultedin substantial losses. Claimant further alleged that the Representative misrepresented the risks and potentialfor future income and growth.

Broker Eileen Suppo in Voya Financial Advisors, INC. Firm Has Customer Complaint

October 17, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on January 26, 2024.

Claimant alleged that the Representative recommended two Real Estate Investment Trust products that resulted in substantial losses. Claimant further alleged that the Representative misrepresented the risks and potential for future income and growth.