Reg BI

There are Recent Customer Complaints with Broker Robert Mueller in Firm UBS Financial Services INC.

October 4, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Mueller (Mueller), previously associated with UBS Financial Services INC., has at least 3 disclosable events. These events include 3 customer complaints, alleging that Mueller 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 $1,580,000.00 on November 03, 2022.

Time frame: In or about late 2016\, \, Allegations: Claimants’ counsel alleges unsuitability and misrepresentation with respect to recommendations to invest in and hold an options overlay strategy.

There are Recent Customer Complaints with Broker Brian Cantel in Firm Berthel, Fisher & Company Financial Services, INC.

October 4, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on November 01, 2022.

The clients allege the investments they purchased between 2012 and 2019 were misrepresented to them, were unsuitable, and led to overconcentration of high-risk investments in their accounts. They further allege the firm failed to conduct adequate due diligence of the recommended investments and was negligent in its supervision of the representative.

There are Recent Customer Complaints with Broker Horace Barker in Firm Morgan Stanley

October 4, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Horace Barker (Barker), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Barker 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 $1,608,876.00 on November 02, 2022.

Claim alleges, inter alia, breach of fiduciary duty with respect to FA’s lack of prevention of withdrawals made by unauthorized third party from client’s account.

Broker Thomas Kieffer in IBN Financial Services, INC. Firm Has Customer Complaint

October 4, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Kieffer (Kieffer), currently associated with IBN Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Kieffer 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 November 07, 2022.

Inadequate due diligence of product, failure to disclose possible program risks

There are Recent Customer Complaints with Broker William Braun in Firm Kestra Investment Services, LLC

October 4, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Braun (Braun), currently associated with Kestra Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Braun 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 November 07, 2022.

Suitability

There are Recent Customer Complaints with Broker Timothy Hucks in Firm Capital Investment Group, INC.

October 4, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Timothy Hucks (Hucks), currently associated with Capital Investment Group, INC., has at least one disclosable event. These events include one customer complaint, alleging that Hucks 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 $99,000.00 on November 07, 2022.

[REDACTED] has never had an account with Capital Investment Group, Inc. Instead, she established an account through Rising Tide, Inc., a state-registered investment advisor. Timothy C. Hucks, President of Rising Tide, Inc., is a registered representative of Capital Investment Group, Inc. \<char_lb_r>\, \<char_lb_r>\, The allegation, per the Statement of Claim, an investment, in what is presumed to be GWG Holdings, Inc., was unsuitable in nature.

There are Recent Customer Complaints with Broker Chester Donnally Jr. in Firm UBS Financial Services INC.

October 4, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Chester Donnally Jr. (Donnally Jr.), previously associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Donnally Jr. 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 $5,000,000.00 on November 02, 2022.

Time frame: 2017-2019\, Claimant’s counsel alleges unsuitability and misrepresentation with respect to recommendations to invest in and hold an options overlay strategy.

There are Recent Customer Complaints with Broker Landon Collins in Firm Cetera Wealth Services, LLC

October 3, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on November 10, 2022.

Client alleges FA did not follow his instructions to only purchase laddered CDs, but rather also purchased bonds which have decreased in value.

There are Recent Customer Complaints with Broker Nicholas Paolicelli in Firm Nylife Securities LLC

October 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nicholas Paolicelli (Paolicelli), previously associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Paolicelli 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 $8,304.25 on November 09, 2022.

The customer alleges, due to misinformation provided by the RR, she only became aware after making a partial withdrawal from her variable annuity policy in August 2022, that it would result in a taxable event. The customer has requested that the transaction be reversed and the money returned to the policy to avoid taxes, penalties and surrender charges.

Broker Claudio Gambin Neto in MML Investors Services, LLC Firm Has Customer Complaint

October 3, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on November 14, 2022.

The complainant alleges that he was misled, and the investment strategy failed, and the advice and recommendations caused unnecessary loss and expenses.