Reg BI

There are Recent Customer Complaints with Broker Nicole Bertsch in Firm American Independent Securities Group, LLC

July 30, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nicole Bertsch (Bertsch), previously associated with American Independent Securities Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bertsch 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 $6,666.67 on March 05, 2020.

Clients alleged breach of fiduciary duty, misrepresentation, violation of Indiana State Securities Laws

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

July 30, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alfonso Boneta (Boneta), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Boneta 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 March 06, 2020.

Time frame: Unspecified Allegations: Claimant alleges the recommendation to hold Puerto Rico Municipal Bonds was unsuitable, and that her accounts were unsuitably over-concentrated in those investments. Claimant further alleges that the risk of concentration in Puerto Rico investments was misrepresented.

There are Recent Customer Complaints with Broker Michael Mosslih in Firm Equitable Advisors, LLC

July 30, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Mosslih (Mosslih), currently associated with Equitable Advisors, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Mosslih 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 February 17, 2026.

Client alleges VUL policy purchased in 2025 was not suitable for his financial needs.

There are Recent Customer Complaints with Broker Jason Murphy in Firm LPL Financial LLC

July 30, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jason Murphy (Murphy), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Murphy 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 March 09, 2020.

Plaintiffs allege that advisor recommended an unsuitable variable life insurance policy and misrepresented the terms and benefits of the policy. Activity period: 6/29/07 to 6/3/19.

Broker John Bliss in Kingswood Capital Partners, LLC Firm Has Customer Complaint

July 30, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 06, 2020.

The client alleges his Financial Professional failed to follow instructions to put on stop orders on positions resulting in losses.

There are Recent Customer Complaints with Broker David Sager in Firm Raymond James & Associates, INC.

July 30, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 06, 2020.

Clients complained that the financial advisor invested their funds in an aggressive mutual fund without their authorization. (11/7/2019-3/6/2020)

There are Recent Customer Complaints with Broker David Wehrman in Firm UBS Financial Services INC.

July 30, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 09, 2020.

Time Frame: March 2, 2020 to March 9, 2020\<char_lb_r>\, \<char_lb_r>\, What were the allegations against the individual? \<char_lb_r>\, . The client alleges his instructions to liquidate his securities were not followed. The alleged damages are estimated to be in excess of $5,000.00.

There are Recent Customer Complaints with Broker Angelo Vitale in Firm Alexander Capital, L.p.

July 30, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Angelo Vitale (Vitale), previously associated with Alexander Capital, L.p., has at least one disclosable event. These events include one customer complaint, alleging that Vitale 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 $388,058.00 on March 09, 2020.

Time frame: unspecified. Claimant alleges unsuitability, breach of contract, breach of fiduciary duty.

There are Recent Customer Complaints with Broker Joseph Waterloo in Firm Janney Montgomery Scott LLC

July 30, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 09, 2020.

The client alleges that the investment advisor failed to implement the specific investment strategy that the client requested as indicated in the agreement. Alleged activity occurred from February 19th to March 9, 2020.

Broker Jerry Goldblum in Equitable Advisors, LLC Firm Has Customer Complaint

July 30, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jerry Goldblum (Goldblum), currently associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Goldblum 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 $26,212.00 on March 09, 2020.

Time frame: unspecified. Claimant alleges unsuitability, breach of contract, breach of fiduciary duty.