Reg BI

There are Recent Customer Complaints with Broker David Macchia in Firm MML Investors Services, LLC

September 17, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 08, 2023.

Client alleged that RR made unsuitable recommendations to invest in a variable annuity and certain other securities on or about March 2, 2022 and March 15, 2022.

There are Recent Customer Complaints with Broker Dimitri Rassias in Firm UBS Financial Services INC.

September 17, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 08, 2023.

Client alleges that RR made unsuitable recommendations to invest in a variable annuity and certain other securities.

There are Recent Customer Complaints with Broker Douglas Willmore in Firm Western International Securities, INC.

September 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Douglas Willmore (Willmore), previously associated with Western International Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Willmore 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 $5,000.00 on March 03, 2023.

Unsuitability; Negligence

There are Recent Customer Complaints with Broker Ann Werts in Firm Madison Avenue Securities, LLC

September 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ann Werts (Werts), previously associated with Madison Avenue Securities, LLC, has at least 5 disclosable events. These events include 5 customer complaints, alleging that Werts 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 March 07, 2023.

Breach of Fiduciary Duty, Breach of Regulation BI, Misrepresentation/Non-Disclosures, unsuitable recommendation of alternative investments.

There are Recent Customer Complaints with Broker Tyler Pratt in Firm Oppenheimer & CO. INC.

September 17, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 07, 2023.

Client alleges unauthorized trading in her accounts as of 3/6/2023, requests reimbursement of all Margin Interest charges.

There are Recent Customer Complaints with Broker Nicholas Taggart in Firm Imst Distributors, LLC

September 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nicholas Taggart (Taggart), currently associated with Imst Distributors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Taggart 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 $300,000.00 on March 03, 2023.

Claimant alleges they were recommended and overconcentrated in unsuitable investments.

Broker Shomir Mukherjee in LPL Financial LLC Firm Has Customer Complaint

September 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Shomir Mukherjee (Mukherjee), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mukherjee 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 $99,999.00 on March 06, 2023.

Unsuitability

There are Recent Customer Complaints with Broker Brad Feldman 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 Brad Feldman (Feldman), currently associated with Raymond James Financial Services, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Feldman 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 March 03, 2023.

Claimants alleges that their registered representative recommended unsuitable investments,

Broker Travis Castleberry in Edward Jones Firm Has Customer Complaint

September 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Travis Castleberry (Castleberry), previously associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Castleberry 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 $100,000.00 on March 07, 2023.

Claimant, as Administrator of the deceased Client’s Estate, alleges that on or about March 27, 2018, Edward Jones and the registered representative effectuated a beneficiary change from the Estate to a third party when the now deceased client was not [REDACTED] competent at the time of the change.

There are Recent Customer Complaints with Broker Steven Sacoolas in Firm PFS Investments INC.

September 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven Sacoolas (Sacoolas), currently associated with PFS Investments INC., has at least one disclosable event. These events include one customer complaint, alleging that Sacoolas 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 $100,000.00 on March 07, 2023.

The customer has alleged that investments into mutual funds were not suitable and were not properly described prior to investing