Reg BI

Broker George Gomez in LPL Financial LLC Firm Has Customer Complaint

April 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker George Gomez (Gomez), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Gomez 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 $400,000.00 on June 13, 2024.

Estate executors allege that between 2014 and 2021, representative recommended certain alternative investments that were allegedly unsuitable for the client’s portfolio.

There are Recent Customer Complaints with Broker Paul Nathe in Firm Oppenheimer & CO. INC.

April 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Paul Nathe (Nathe), currently associated with Oppenheimer & CO. INC., has at least one disclosable event. These events include one customer complaint, alleging that Nathe 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 $409,002.00 on June 14, 2024.

Claimant alleges that his stock portfolio was sold without his authorization. 2022 – present

There are Recent Customer Complaints with Broker Siria Pinkston in Firm Wells Fargo Clearing Services, LLC

April 28, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on June 17, 2024.

Beginning in 2014, Claimants allege their father’s Financial Advisor (FA) influenced him to misappropriate assets for the purpose of the FA’s personal gains.

Broker Richard Sheiner in Cibc World Markets Corp. Firm Has Customer Complaint

April 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Sheiner (Sheiner), previously associated with Cibc World Markets Corp., has at least one disclosable event. These events include one customer complaint, alleging that Sheiner 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 $584,407.00 on June 14, 2024.

[REDACTED] v. Richard K. Sheiner and CIBC Private Wealth Advisors, Inc.(PWA) -Plaintiff filed complaint in Circuit Court of Cook County Illinois, asserting four counts againstSheiner and PWA. Complaint alleges that Plaintiff agreed to set up an account withSheiner/PWA in the name of his wife only, and that Sheiner/PWA promised (a) not to depleteor encumber the account in any way without Plaintiff’s prior consent, and (b) to immediatelynotify Plaintiff if there were any risks of depletion or encumbrance of the account, except fornormal investment or trading losses. Claims include (i) breach of fiduciary duty, (ii) breach ofcontract, (iii) promissory estoppel, and (iv) equitable estoppel. Claimed damages of$584,407.00

Broker Abtin Bashirazami in Transamerica Financial Advisors, LLC Firm Has Customer Complaint

April 27, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Abtin Bashirazami (Bashirazami), currently associated with Transamerica Financial Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bashirazami 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 $241,666.58 on June 18, 2024.

Claimant alleges representative recommended that claimant liquidate his 529 savings and use an inheritance to fund a IUL policy. Claimant also alleges that represented misrepresented the IUL policy.

There are Recent Customer Complaints with Broker Terrell Bowman in Firm Equitable Advisors, LLC

April 27, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Terrell Bowman (Bowman), previously associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bowman 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 $5,000.00 on June 21, 2024.

Customer alleges misrepresentation of surrender penalties for VA sold in 2022.

There are Recent Customer Complaints with Broker Mark Roberti in Firm Edward Jones

April 27, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on June 18, 2024.

The clients alleges the movement of funds was never discussed or approved.

There are Recent Customer Complaints with Broker Borami Yoon in Firm Morgan Stanley

April 27, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Borami Yoon (Yoon), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Yoon 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 $200,000.00 on June 20, 2024.

Claimant alleged, inter Alia, misrepresentation with respect to investments -Dec 2020 through May 2021.

Broker Michael Whitaker in Newbridge Securities Corporation Firm Has Customer Complaint

April 27, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Whitaker (Whitaker), previously associated with Newbridge Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Whitaker 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 $76,000.00 on June 21, 2024.

Breach of fiduciary duty, negligence and reg bi.

Broker Jaime Estrada in Wells Fargo Advisors Financial Network, LLC Firm Has Customer Complaint

April 27, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jaime Estrada (Estrada), currently associated with Wells Fargo Advisors Financial Network, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Estrada 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 $67,000.00 on June 18, 2024.

Claimant alleges her Financial Advisor (FA) made an unsuitable annuity recommendation for Claimant’s age and needs.