Reg BI

There are Recent Customer Complaints with Broker Scott Oliphant in Firm Cetera Advisors LLC

October 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Scott Oliphant (Oliphant), currently associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Oliphant 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 $100,000.00 on January 20, 2023.

Customer alleged that the sale of a REIT was not suitable and was an over-concentration of assets. In connection with that same transaction, complainant alleged breach of fiduciary duty, breach of contract, negligence, negligent misrepresentation or omission, common law fraud, and negligent supervision.

There are Recent Customer Complaints with Broker Nicholas Hasselkus in Firm Morgan Stanley

October 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nicholas Hasselkus (Hasselkus), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Hasselkus 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 $20,000.00 on January 13, 2023.

CLIENT ALLEGES, INTER ALIA, THAT THEIR INSTRUCTIONS TO TRANSFER THEIR ACCOUNT IN KIND TO THEIR NEW FIRM WERE NOT FOLLOWED 2022

There are Recent Customer Complaints with Broker Donald Savaglia in Firm Osaic Wealth, INC.

October 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Donald Savaglia (Savaglia), previously associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Savaglia 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 $50,000.00 on January 17, 2023.

As per Cetera’s filing, Claimants allege they were recommended unsuitable investments, and failure to conduct adequate due diligence.

There are Recent Customer Complaints with Broker Brian Johnson in Firm State Farm Vp Management Corp.

October 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Johnson (Johnson), currently associated with State Farm Vp Management Corp., has at least one disclosable event. These events include one customer complaint, alleging that Johnson 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 January 18, 2023.

He did not want to have this policy. The agent opened the account anyway.

Broker William Moses in LPL Financial LLC Firm Has Customer Complaint

October 20, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on January 18, 2023.

Customer alleges representative, his half-brother, transferred funds out of customer’s UTMA account on several occasions during the time period 2015-2021 and deposited the funds into a checking account belonging to another family member.

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

October 20, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on January 13, 2023.

Claimants allege FA recommended they invest heavily in unsuitable and purportedly high-risk oil and gas investments. Allegation Activity Dates: 2010 – 2018.

Broker Jeffrey Tabman in Equitable Advisors, LLC Firm Has Customer Complaint

October 20, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on January 12, 2023.

Client alleges RR recommended an unsuitable managed account in 2022.

Broker James Davenport in Silver Oak Securities, Incorporated Firm Has Customer Complaint

October 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Davenport (Davenport), previously associated with Silver Oak Securities, Incorporated, has at least one disclosable event. These events include one customer complaint, 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 $24,000.00 on January 20, 2023.

In November 2022, the clients, a married couple, made an oral complaint to the firm concerning the representative and their accounts. Subsequently, in December 2022, one client complained in writing, alleging, with respect to discretionary advisory accounts, that unspecified investments were not suitable for the clients, that stop-loss orders were not used to protect the account from declining in value as the overall market declined, and that the portfolio was over-diversified, among other things.

There are Recent Customer Complaints with Broker Theodore Ecker in Firm Ausdal Financial Partners, INC.

October 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Theodore Ecker (Ecker), previously associated with Ausdal Financial Partners, INC., has at least one disclosable event. These events include one customer complaint, alleging that Ecker 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 $698,000.00 on January 20, 2023.

Unsuitable recommendations of alternative investments.

There are Recent Customer Complaints with Broker Frank Guarascio in Firm Madison Avenue Securities, LLC

October 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Frank Guarascio (Guarascio), previously associated with Madison Avenue Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Guarascio 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 $698,000.00 on January 20, 2023.

Unsuitable recommendations of alternative investments.