Reg BI

There are Recent Customer Complaints with Broker Ronald Daley in Firm W & s Brokerage Services, INC.

January 25, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ronald Daley (Daley), previously associated with W & s Brokerage Services, INC., has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Daley recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on September 10, 2021.

Without admitting or denying the findings, Daley consented to the sanction and to the entry of findings that he refused to appear for on-the-record testimony or to produce documents and information requested by FINRA in connection with its investigation into his potential conversion of funds from elderly customers.

Broker James Freeman in Commonwealth Financial Network Firm Has Customer Complaint

January 25, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Freeman (Freeman), currently associated with Commonwealth Financial Network, has at least one disclosable event. These events include one customer complaint, alleging that Freeman 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 $100,000.00 on September 10, 2021.

Claimant alleges her registered representative recommended unsuitable alternative investments. Claimant further alleges misrepresentation, breach of contract, negligence, and breach of fiduciary duty.

Broker Jay Friedman in Valic Financial Advisors, INC. Firm Has Customer Complaint

January 25, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jay Friedman (Friedman), previously associated with Valic Financial Advisors, INC., has at least one disclosable event. These events include one customer complaint, alleging that Friedman 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 $4,500.00 on September 13, 2021.

Client alleged her signature was forged and that RR acted unethically.

There are Recent Customer Complaints with Broker Ronald Russell in Firm Kalos Capital, INC.

January 25, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ronald Russell (Russell), previously associated with Kalos Capital, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Russell 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 $200,000.00 on September 03, 2021.

The successor Trustee is alleging breach of fiduciary duty, unsuitable recommendations, misrepresentations and omissions of material facts, and failure to supervise.

There are Recent Customer Complaints with Broker Ricky Ferrara in Firm LPL Financial LLC

January 25, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ricky Ferrara (Ferrara), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Ferrara 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 $100,000.00 on September 02, 2021.

Claimant alleges that certain investments purchased for his portfolio are unsuitable. Activity period 7/2014 – 9/2/2021.

Broker John Rochester in Morgan Stanley Firm Has Customer Complaint

January 25, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a award / judgment customer complaint with a damage request of $1,238,518.30 on September 03, 2021.

Rochester was a subject of the customer’s complaint against his member firm that asserted the following causes of action: breach of fiduciary duty and associated misrepresentations; breach of fiduciary; fraud in connection of breach of fiduciary duty; negligent misrepresentation associated with breach of fiduciary duty; breach of suitability rules; breach of diligence rules; breach of know your customer rules; breach of commercial honor and just and equitable principles of trade; fraud in connection with breach of FINRA rules; negligent misrepresentation in connection with FINRA rules; negligence; breach of contract; and breach of covenant of good faith and fair dealing.

Broker Michael Wenger in Packerland Brokerage Services, INC. Firm Has Customer Complaint

January 25, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Wenger (Wenger), previously associated with Packerland Brokerage Services, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Wenger 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 September 07, 2021.

Claimant claims breach of contract and warranties, promissory estoppel, violation of state securities statutes, breach of fiduciary duty, negligence and gross negligence, misrepresentation/omission and negligent misrepresentation/omission, unjust enrichment, and failure to supervise.

Broker Philip Simone in Axa Advisors, LLC Firm Has Customer Complaint

January 25, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Philip Simone (Simone), previously associated with Axa Advisors, LLC, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Simone 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 $100,001.00 on September 13, 2021.

The customer alleges that the Registered Representative concentrated their account(s) in unsuitable, high-commission, complex and risky investments. No dates of alleged activity were disclosed in the Statement of Claim.

Broker Gregory Duncan Peters in Raymond James & Associates, INC. Firm Has Customer Complaint

January 25, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on September 13, 2021.

Arbitration: Claimant alleges that in 2016, the FA recommended an unsuitable securities-backed line of credit (“SBLOC”). \, \, Complaint: Attorney for client alleged the financial advisor recommended an unsuitable securities-backed line of credit which resulted in losses, costs and financing charges. (1/7/2016-12/1/2020)

There are Recent Customer Complaints with Broker Robert Kasten in Firm Osaic Wealth, INC.

January 25, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Kasten (Kasten), previously associated with Osaic Wealth, INC., has at least 4 disclosable events. These events include 4 customer complaints, alleging that Kasten 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 September 08, 2021.

Claimants allege their registered representative recommended an unapproved outside securities transaction, misrepresentation, negligent supervision, and breach of contract.