Reg BI

There are Recent Customer Complaints with Broker Dennis Rife in Firm Osaic Wealth, INC.

May 6, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dennis Rife (Rife), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Rife 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 May 19, 2020.

The claimant alleges that recommendations to purchase two investments in his ira account were not in keeping with his needs and objectives.

There are Recent Customer Complaints with Broker Timothy Kissling in Firm Madison Avenue Securities, LLC

May 6, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Timothy Kissling (Kissling), previously associated with Madison Avenue Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kissling 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 $175,000.00 on May 18, 2020.

Claimants allege failure to conduct Due Diligence on several points, unsuitable recommendation, over concentration, misrepresentations and omissions in violation of FINRA regulations in the sale of alternative investments in 2012.

There are Recent Customer Complaints with Broker William Baumner in Firm Tradespot Markets INC.

May 6, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Baumner (Baumner), previously associated with Tradespot Markets INC., has at least 3 disclosable events. These events include 3 customer complaints, alleging that Baumner 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 $67,000.00 on May 18, 2020.

Unsuitable investment recommendations, breach of regulatory requirements, breach of fiduciary duty, breach of contract,negligence and gross negligence

Broker Harold Cho in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

May 6, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on May 15, 2020.

The customer alleges unauthorized trading from March 11, 2020 until March 26, 2020.

Broker Joseph Kolina in Bbva Securities INC. Firm Has Customer Complaint

May 6, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Kolina (Kolina), previously associated with Bbva Securities INC., has at least one disclosable event. These events include one customer complaint, alleging that Kolina 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 May 15, 2020.

Customer purchased several variable and fixed annuities beginning in May, 2015. Customer claims that annuities are unsuitable due to her investment time horizon and liquidity needs.

There are Recent Customer Complaints with Broker Russell Ogan in Firm Oppenheimer & CO. INC.

May 6, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Russell Ogan (Ogan), currently associated with Oppenheimer & CO. INC., has at least one disclosable event. These events include one customer complaint, alleging that Ogan 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 14, 2020.

Claimant alleges unauthorized trading, negligence, breach of fiduciary duty and breach of contract in relation to the purchase of a UIT. From 1/22/2020 to 1/29/2020

There are Recent Customer Complaints with Broker John Stubbs in Firm LPL Financial LLC

May 6, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Stubbs (Stubbs), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Stubbs 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 $16,000.00 on May 18, 2020.

Customer alleges unsuitable recommendation of advisory account and seeks reimbursement of fees.

There are Recent Customer Complaints with Broker Donald Wojnowski in Firm Paulson Investment Company LLC

May 6, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Donald Wojnowski (Wojnowski), currently associated with Paulson Investment Company LLC, has at least one disclosable event. These events include one customer complaint, alleging that Wojnowski 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 $12,905.62 on May 15, 2020.

Mr. Miz alleges that he was unable to sell a security for a loss on December 30th and 31st, 2019 to offset gains for tax year 2019.

Broker Michael Corrigan in M Holdings Securities, INC. Firm Has Customer Complaint

May 6, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on May 18, 2020.

Plaintiffs allege that representative made misrepresentations related to the Supplemental Employee Retirement Plan.

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

May 6, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on May 14, 2020.

The customer alleges unauthorized trading on February 27 ,2020.