Reg BI

There are Recent Customer Complaints with Broker Joshua Green in Firm Cetera Investment Services LLC

October 12, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on August 13, 2025.

Customer alleges unsuitable investment recommendations.

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

October 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Mattiello (Mattiello), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Mattiello 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 $15,000.00 on August 13, 2025.

Customer alleges unauthorized withdrawals from accounts.

Broker Richard Gorham in RBC Capital Markets, LLC Firm Has Customer Complaint

October 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Gorham (Gorham), currently associated with RBC Capital Markets, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Gorham 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 August 13, 2025.

The client alleged a mutual fund investment, made in September 2021, was outside her documented risk tolerance.

There are Recent Customer Complaints with Broker Eugene Thompson in Firm Capital Investment Group, INC.

October 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eugene Thompson (Thompson), currently associated with Capital Investment Group, INC., has at least one disclosable event. These events include one customer complaint, alleging that Thompson 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 $444,000.00 on August 13, 2025.

Clients invested in GWG Holdings L-Bonds. GWG Holdings, Inc. filed Chapter 11 bankruptcy on April 20, 2022., The Statement of Claim alleges breach of fiduciary duty, violations of NC Securities Act, constructive fraud, negligence, gross negligence, vicarious liability, and negligent supervision and retention.

There are Recent Customer Complaints with Broker Gregory Switzer in Firm Tiaa-cref Individual & Institutional Services, LLC

October 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gregory Switzer (Switzer), currently associated with Tiaa-cref Individual & Institutional Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Switzer recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on August 11, 2025.

Through an oral complaint, the client claimed to have received inaccurate information about the tax liability of withdrawals from their variable annuities.

Broker Edward Fernandez in Capulent LLC Firm Has Customer Complaint

October 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Edward Fernandez (Fernandez), currently associated with Capulent LLC, has at least one disclosable event. These events include one customer complaint, alleging that Fernandez 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 $10,000.00 on August 11, 2025.

Claimants allege unsuitable recommendations of three Versity/Crew investments (Hayworth Tanglewood, DST and Versity Income Property Notes, LLC).

There are Recent Customer Complaints with Broker Marinos Ballas in Firm Aegis Capital Corp.

October 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Marinos Ballas (Ballas), currently associated with Aegis Capital Corp., has at least one disclosable event. These events include one customer complaint, alleging that Ballas 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 August 08, 2025.

Time frame: 2020 to present. Claimant alleges the product was unsuitable.

There are Recent Customer Complaints with Broker James Rimmel in Firm UBS Financial Services INC.

October 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Rimmel (Rimmel), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Rimmel 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 $7,000.00 on August 11, 2025.

Time Frame: January 14th, 2021 to August 11th, 2025\, \, What were the allegations against the individual? The Trustee alleges that the Financial Advisor sold unsuitable investments based on the client’s age and life expectancy.

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

October 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Todd Sherman (Sherman), currently associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Sherman 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 $23,750.00 on August 07, 2025.

The client alleged the advisor placed unauthorized trades. Allegation dates: 4/16/2025 – 7/15/2025.

Broker Steve Cummings in Berthel, Fisher & Company Financial Services, INC. Firm Has Customer Complaint

October 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steve Cummings (Cummings), previously associated with Berthel, Fisher & Company Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Cummings 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 $594,746.00 on August 09, 2025.

The client initially requested an accounting of a decline in account balance over ten years. Two days later the client wrote again stating he suspected either wrong doing, inept or illegal handling of the account.