Reg BI

There are Recent Customer Complaints with Broker Bernard Bostwick in Firm Osaic Wealth, INC.

September 18, 2025 | by Staff Attorney

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

Claimant alleges the RR breached fiduciary duty by failing to recognize and stop claimant from being a victim of wire fraud.

Broker Robert Newman in Morgan Stanley Firm Has Customer Complaint

September 18, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on February 27, 2023.

Claimant alleged that the FA recommended a portfolio that was too aggressive for his risk tolerance.

Broker Arnetta Tolley in Edward Jones Firm Has Customer Complaint

September 18, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Arnetta Tolley (Tolley), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Tolley 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 $8,000.00 on February 27, 2023.

Client alleges the financial advisor did not indicate there were any tax issues related to a 529 plan account withdrawal.

There are Recent Customer Complaints with Broker Luong Pham in Firm Cetera Advisors LLC

September 18, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Luong Pham (Pham), previously associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Pham 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 $150,000.00 on February 27, 2023.

Claimant alleges their financial adviser recommended unsuitable investments that resulted in losses.

Broker Douglas Magnuson in Four Points Capital Partners LLC Firm Has Customer Complaint

September 18, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Douglas Magnuson (Magnuson), currently associated with Four Points Capital Partners LLC, has at least one disclosable event. These events include one customer complaint, alleging that Magnuson 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 $316,769.50 on February 23, 2023.

Client lost money between April 2017 through May 2022, and now claims he was not sophisticated enough to know the risks.

Broker Carl Williams in Prospera Financial Services, INC. Firm Has Customer Complaint

September 18, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Carl Williams (Williams), currently associated with Prospera Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Williams 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 March 02, 2023.

Customers allege representative recommended an investment strategy that was not suitable for their investment objectives and risk tolerance. Time period: April 22, 2020 to October 20, 2022.

There are Recent Customer Complaints with Broker Jim Lund in Firm Cabot Lodge Securities LLC

September 18, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jim Lund (Lund), currently associated with Cabot Lodge Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lund 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 February 28, 2023.

Claimants allege violations of federal and state securities laws, fraud, unsuitable recommendations, misrepresentations and omissions of material fact, breach of contract, breach of fiduciary duty, and negligence with regards to the purchases of GWG L-Bonds in 2018 and 2019 respectively.

Broker Guy Presutti 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 Guy Presutti (Presutti), currently associated with Oppenheimer & CO. INC., has at least one disclosable event. These events include one customer complaint, alleging that Presutti 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 $1,450,000.00 on March 01, 2023.

Claimant alleges he summered loses as result of an unsuitable investment and alleges claims for breach of fiduciary duty, negligence, fraud, breach of contract, third-party beneficiary breach of contract, violation of state states securities laws and Regulation BI. From 7/1/2021 – 8/30/2022.

Broker Steven Reznik in Raymond James Financial Services, INC. Firm Has Customer Complaint

September 18, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on February 24, 2023.

Former client alleges FA recommended unsuitable securities; improperly concentrated and failed to properly allocate and diversify the former client’s investment portfolio; improperly attempted to time the market with investments; and May have had a conflict of interest.

There are Recent Customer Complaints with Broker Shaun Jones in Firm Raymond James Financial Services, INC.

September 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Shaun Jones (Jones), currently associated with Raymond James Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Jones 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 $25,000.00 on March 07, 2023.

Claimant alleges that although her stated risk tolerance was conservative, her account was designated with a moderate risk tolerance and managed in a manner that was inconsistent with her conservative profile.