Reg BI

Broker David Waters in Cetera Advisors LLC Firm Has Customer Complaint

August 12, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Waters (Waters), currently associated with Cetera Advisors LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Waters 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 $10,000.00 on April 21, 2020.

Misrepresentation and unauthorized trades which resulted in a decline of the portfolio value.

There are Recent Customer Complaints with Broker Maurice Stuffmann in Firm Oppenheimer & CO. INC.

August 12, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Maurice Stuffmann (Stuffmann), currently associated with Oppenheimer & CO. INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Stuffmann recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on April 20, 2020.

Client alleges investments were not fully explained and were unsuitable between November 2012 and March 2020

There are Recent Customer Complaints with Broker Guilherme Silveira Sahadi in Firm Btg Pactual Us Capital, LLC

August 7, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Guilherme Silveira Sahadi (Silveira Sahadi), previously associated with Btg Pactual Us Capital, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Silveira Sahadi recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on May 21, 2020.

Claimant alleges that in or about January 2018, FA made unsuitable recommendations

There are Recent Customer Complaints with Broker Dustin Terry in Firm Great Point Capital LLC

August 7, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dustin Terry (Terry), previously associated with Great Point Capital LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Terry 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 $250,000.00 on May 19, 2020.

Unsuitable, illiquid products

Broker Stephen Curry in Kestra Investment Services, LLC Firm Has Customer Complaint

August 7, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stephen Curry (Curry), currently associated with Kestra Investment Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Curry 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 $7,790,689.00 on May 21, 2020.

Client alleged breached of fiduciary duty and related claims associated with services to a retirement fund.

There are Recent Customer Complaints with Broker Joseph Depasquale in Firm American Capital Partners, LLC

August 7, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Depasquale (Depasquale), currently associated with American Capital Partners, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Depasquale 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 $170,000.00 on May 26, 2020.

Broker David Logsdon in Wells Fargo Clearing Services, LLC Firm Has Customer Complaint

August 7, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Logsdon (Logsdon), currently associated with Wells Fargo Clearing Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Logsdon recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on May 21, 2020.

Power of Attorney for client complained that the securities in the client’s account were not suitable. (9/8/2016-5/21/2020)

There are Recent Customer Complaints with Broker John Rogers in Firm Stifel, Nicolaus & Company, Incorporated

August 7, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Rogers (Rogers), currently associated with Stifel, Nicolaus & Company, Incorporated, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Rogers 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 $400,000.00 on May 22, 2020.

Time frame: Unspecified \<char_lb_r>\, Claimant’s counsel alleges unsuitability of certain investments, and that such investments resulted in principal losses.

There are Recent Customer Complaints with Broker T Jackson in Firm Morgan Stanley

August 7, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker T Jackson (Jackson), currently associated with Morgan Stanley, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Jackson recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on May 22, 2020.

Client alleges that he did not authorize the establishment of a managed account or for trading to begin 2020 damages unspecified

There are Recent Customer Complaints with Broker Robert Lapetina in Firm Nationwide Planning Associates INC.

August 7, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Lapetina (Lapetina), currently associated with Nationwide Planning Associates INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Lapetina 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 $40,000.00 on May 21, 2020.

Time Frame: January 2, 2001 to December 28, 2012 What were the allegations against the individual? The client’s\<char_lb_r>\, attorney alleges the investments were unsuitable as they were illiquid and highly leveraged funds. The client’s attorney\<char_lb_r>\, further alleges the strategy was inappropriate and highly concentrated. The client’s attorney further alleges the client was misled to safety of the recommended investment. The attorney finally alleges adding further risk the firm provided a margin loan secured by the volatile fund assets in a brokerage account.