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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ramona Ivy (Ivy), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Ivy 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 $162,670.00 on February 26, 2025.

Client is upset because her 1099 reported $533k in capital gains regarding a mutual fund exchange from May 2024. Client alleged that the financial advisor indicated that this was not a taxable event and is requesting reimbursement of tax implications.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Davis (Davis), previously associated with Northwestern Mutual Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, 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 with a damage request of $33,840.00 on March 06, 2025.

Customers allege that in or around April 2023, in the course of their purchasing two variable universal life insurance policies from the Representative and another representative, misrepresentations were made regarding the costs associated with the policies.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Pamela Tipton (Tipton), currently associated with Raymond James Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Tipton 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 $470,000.00 on March 03, 2025.

Client alleges she was not advised of the tax implications involved in a transfer and claims she would not have liquidated or transferred the account had she known.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Paul Addo (Addo), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Addo 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 $316,819.07 on March 04, 2025.

Claimant alleges unsuitable investment strategy, misrepresentation, omission of materials facts and failure to act in their best interest in April 2022.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alexander Gorman (Gorman), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Gorman 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 $429,000.00 on March 07, 2025.

Attorney alleges, inter alia, that covered option trading recommended for clients was unsuitable  2019-2023

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Myrsa Acevedo (Acevedo), previously associated with UBS Financial Services Incorporated of Puerto Rico, has at least one disclosable event. These events include one customer complaint, alleging that Acevedo 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 March 10, 2025.

Time frame:     \, Plaintiffs allege that their respective financial advisors recommended that they purchase and/or continue to hold Puerto Rico bonds and Puerto Rico closed-end bond funds, and omitted and misrepresented the risks of said securities, despite Puerto Rico’s deteriorating financial condition, resulting in losses when the Puerto Rico bond market collapsed in 2013.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jie Zheng (Zheng), previously associated with Allied Millennial Partners, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Zheng 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 $5,000.00 on March 05, 2025.

Unsuitability recommendation of a REIT. No activity dates listed in SOC/Initial review indicates transactions at issue took place in 2015.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven Nielsen (Nielsen), currently associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Nielsen 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 $65,000.00 on February 21, 2025.

The customer alleges that the Registered Representative recommended an unsuitable, highly speculative and illiquid investment. No specific dates for the alleged activity were identified in the Statement of Claim.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Chris Dibari (Dibari), currently associated with Pnc Investments, has at least one disclosable event. These events include one customer complaint, alleging that Dibari 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 $384,779.66 on March 10, 2025.

Client allege the representative’s recommendations were inconsistent with their investment objectives, and he did not accurately explain product features.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Athanasios Tomaras (Tomaras), currently associated with R. F. Lafferty & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Tomaras 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 $500,000.00 on February 18, 2025.

Unsuitable investments. Sell order not followed.

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