Reg BI

There are Recent Customer Complaints with Broker Christopher Porter in Firm Ameriprise Financial Services, LLC

December 30, 2025 | by Staff Attorney

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

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

Unsuitable recommendation of GPB Automotive and other alternative investments.

There are Recent Customer Complaints with Broker Michael Butt in Firm Morgan Stanley

December 30, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on December 16, 2021.

Client alleged that their instructions not to initiate trading in their managed accounts until they received and approved an investment proposal were not followed. 2020 damages unspecified

There are Recent Customer Complaints with Broker Thomas Assalone in Firm Morgan Stanley

December 30, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on December 16, 2021.

Client alleged that their instructions not to initiate trading in their managed accounts until they received and approved an investment proposal was not followed. 2020 damages unspecified

Broker Edmund Swain in Stifel, Nicolaus & Company, Incorporated Firm Has Customer Complaint

December 30, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Edmund Swain (Swain), previously associated with Stifel, Nicolaus & Company, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Swain 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 December 15, 2021.

Claimant allege breach of contract, violations of State Securities Statutes and claims under common law.

There are Recent Customer Complaints with Broker Francis Gemino in Firm Henley & Company LLC

December 30, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Francis Gemino (Gemino), currently associated with Henley & Company LLC, has at least one disclosable event. These events include one customer complaint, alleging that Gemino 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 $1,000,000.00 on December 16, 2021.

Customer alleges Firm failed to provide reasonable, adequate and meaningful supervision over Firm’s branch office, allowing its registered representative, to carry out a Ponzi scheme to defraud and misappropriate approximately$1,000,000.00.

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

December 29, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on December 22, 2021.

The client alleged unauthorized trading in his account in September 2021.

There are Recent Customer Complaints with Broker Gerald Moneypenny in Firm Crown Capital Securities, L.p.

December 29, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gerald Moneypenny (Moneypenny), previously associated with Crown Capital Securities, L.p., has at least one disclosable event. These events include one customer complaint, alleging that Moneypenny 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 December 23, 2021.

Claimant’s allegations include but are not limited to, making unsuitable recommendations, negligence, misrepresentation and omission of material facts, and breach of fiduciary duty with regard to the sale of alternative investments. Time period of allegations is November 2007-February 2018.

Broker Sean Kemery in J.P. Morgan Securities LLC Firm Has Customer Complaint

December 29, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sean Kemery (Kemery), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kemery 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 $8,400.00 on December 22, 2021.

The client alleges an unauthorized trade was placed to fulfill his RMD.

Broker Jason Champion in MML Investors Services, LLC Firm Has Customer Complaint

December 29, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on December 22, 2021.

The complainant alleges that the registered representative allowed his funds to be invested in a high risk fund, with no liquidity, on or about June 2017.

Broker Richard Pettibone in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

December 29, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on December 27, 2021.

The customer alleges unsuitable investment recommendations in October of 2021.