Reg BI

Broker Agnes Medina in Equity Services, INC. Firm Has Customer Complaint

April 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Agnes Medina (Medina), currently associated with Equity Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Medina 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 $33,000.00 on February 17, 2026.

Court appointed successor conservator brought suit against the parent of the three minor children, western reserve life, transamerica advisors, inc. And the registered representative for breach of fiduciary duty, aiding and abetting a breach of fiduciary duty, unjust enrichment, conversion, and declaratory judgment.

There are Recent Customer Complaints with Broker Richard Brewington in Firm Park Avenue Securities LLC

April 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Brewington (Brewington), currently associated with Park Avenue Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Brewington 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 February 12, 2026.

[REDACTED] as the Executrix of the Estate of [REDACTED] filed a FINRA arbitration to recover financial losses, claiming that a Park Avenue Securities Registered Representative was negligent and breached their fiduciary duty.

There are Recent Customer Complaints with Broker Gregory Berg in Firm LPL Financial LLC

April 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gregory Berg (Berg), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Berg 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 $143,000.00 on February 17, 2026.

Client alleges omission of material facts concerning a variable annuity purchased in February 2007.

There are Recent Customer Complaints with Broker Anthony Vitagliano in Firm Wells Fargo Clearing Services, LLC

April 4, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on February 13, 2026.

Time Frame: August 15th, 2011 to February 12th,, 2026\, \, What were the allegations against the individual: The client alleges that their financial advisor misrepresented their managed account fees and she was overcharged.\,

Broker Rebecca Gaylor in J.w. Cole Financial, INC. Firm Has Customer Complaint

April 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Rebecca Gaylor (Gaylor), previously associated with J.w. Cole Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Gaylor 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 $300,000.00 on February 11, 2026.

Trustees alleged breach of fiduciary duty, unsuitable recommendation, and misrepresentation of investment regarding an oil and gas limited partnership purchased thirteen years ago.

Broker Steven Delsesto in UBS Financial Services INC. Firm Has Customer Complaint

April 4, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on February 17, 2026.

Time Frame: January 3, 2005 to December 30, 2005\, \, The client reopens his complaint and alleges his Financial Advisor defrauded his accounts to enrich himself. The client further alleges forgery, unauthorized purchases, and commingling with his accounts. \,

There are Recent Customer Complaints with Broker Toni Iannarelli in Firm LPL Financial LLC

April 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Toni Iannarelli (Iannarelli), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Iannarelli 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 $101,000.00 on February 13, 2026.

Customer alleges the representative did not act in the best interest of the retail customer by recommending an unsuitable securities investment for the customer’s investment objectives between February and March of 2021.

There are Recent Customer Complaints with Broker Gustavo Vettorazzo Marcondes in Firm Merrill Lynch, Pierce, Fenner & Smith Incorporated

April 3, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gustavo Vettorazzo Marcondes (Vettorazzo Marcondes), previously associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Vettorazzo Marcondes recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on February 23, 2026.

Client alleges misrepresentation, unsuitable recommendation, and omission of material facts.

There are Recent Customer Complaints with Broker Daniel Baumgold in Firm LPL Financial LLC

April 3, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Baumgold (Baumgold), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Baumgold 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 $591,000.00 on February 23, 2026.

Client alleges advisor failed to disclose asset liquidation would result in a taxable event.

There are Recent Customer Complaints with Broker Simeon Hill in Firm Vanguard Marketing Corporation

April 3, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Simeon Hill (Hill), currently associated with Vanguard Marketing Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Hill 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 $15,000.00 on February 20, 2026.

Client alleges that $15,000 was withdrawn from her IRA account without her authorization.