Reg BI

There are Recent Customer Complaints with Broker Michael Ryan in Firm Pruco Securities, LLC.

September 19, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Ryan (Ryan), previously associated with Pruco Securities, LLC., has at least one disclosable event. These events include one customer complaint, alleging that Ryan 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 $16,468.11 on February 21, 2023.

Customer Alleges that the rep took her contracts and put them together to create two brand new contracts without her knowledge.

There are Recent Customer Complaints with Broker David Sherwood in Firm Greenberg Financial Group

September 19, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Sherwood (Sherwood), previously associated with Greenberg Financial Group, has at least one disclosable event. These events include one customer complaint, alleging that Sherwood 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 $72,796.47 on February 22, 2023.

Customer claims decision to purchase GWG L Bonds in Customer’s accounts caused loss and was due to negligence and breach of fiduciary duty.

There are Recent Customer Complaints with Broker Kimberly Pennine in Firm LPL Enterprise, LLC

September 18, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on February 28, 2023.

Customer alleges that the 2 variable annuities she purchased in 2019 and 2020 were not right for her. Customer requests to close her accounts without penalties or fees

Broker Michael Wind in John Hancock Distributors LLC Firm Has Customer Complaint

September 18, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Wind (Wind), currently associated with John Hancock Distributors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Wind 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 February 28, 2023.

On February 28, 2023, [REDACTED] (“Claimant”) filed a Statement of Claim in arbitration with the Financial\, Industry Regulatory Authority (“FINRA”) (the “Statement of Claim”) against Paychex Securities Corporation\, (“PSC”), FINRA Case No. 23-00508. In his Statement of Claim, Claimant alleges that Michael Wind, then a\, registered representative with PSC, did not follow his instructions regarding how to invest his individual 401(k)\, plan assets when the plan sponsor transferred certain plan assets to Paychex on or about October 1, 2021.

Broker Luis Abreu in Oppenheimer & CO. INC. Firm Has Customer Complaint

September 18, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Luis Abreu (Abreu), currently associated with Oppenheimer & CO. INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Abreu recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on March 01, 2023.

The customer alleges unauthorized trades in October 2022.

Broker Alexander Haviland in Dfpg Investments, LLC Firm Has Customer Complaint

September 18, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alexander Haviland (Haviland), currently associated with Dfpg Investments, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Haviland 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 $44,322.71 on February 28, 2023.

Client alleges unauthorized trading in account incurring a loss of $44,322.71

Broker Christopher Barfoot in J.P. Morgan Securities LLC Firm Has Customer Complaint

September 18, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Barfoot (Barfoot), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Barfoot 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 $23,070.95 on February 27, 2023.

Client alleges poor advice regarding option strategy. Activity dates 2.27.23.

There are Recent Customer Complaints with Broker Suzanne Powell in Firm Wells Fargo Advisors, LLC

September 18, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Suzanne Powell (Powell), previously associated with Wells Fargo Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Powell 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 $135,000.00 on March 01, 2023.

Client filed arbitration claim alleging Ms. Powell recommended unsuitable investments resulting in investment losses.

There are Recent Customer Complaints with Broker Jon Vinge in Firm Kestra Investment Services, LLC

September 18, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jon Vinge (Vinge), currently associated with Kestra Investment Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Vinge 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 $701,211.32 on March 01, 2023.

Claimant [REDACTED] alleges violations of federal & State securities laws, breach of fiduciary duties and negligence, breach of contract, common law fraud, failure to supervise, misrepresentation and omissions, unsuitable investments and failure to act in the best interest of the client.

Broker Mary Ann Best in Sanford C. Bernstein & Co., LLC Firm Has Customer Complaint

September 18, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mary Ann Best (Best), currently associated with Sanford C. Bernstein & Co., LLC, has at least one disclosable event. These events include one customer complaint, alleging that Best 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 $489,703.26 on February 28, 2023.

The Customer alleged unsuitable investment recommendations.