Reg BI

There are Recent Customer Complaints with Broker Ryan Kirkpatrick in Firm Edward Jones

December 26, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on January 26, 2022.

The client alleges the financial advisor misrepresented there would be no tax consequences for liquidating U.S. Series EE savings bonds.

Broker Ray Arndt in Mutual Securities, INC. Firm Has Customer Complaint

December 26, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ray Arndt (Arndt), previously associated with Mutual Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Arndt 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 $18,500.00 on January 22, 2022.

Claimants allege unsuitable recommendations, material misrepresentation ^ omissions, control person liability & respondent superior, failure to supervise, and violations of FINRA 2020 & IM 2310-2.

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

December 26, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Wagner (Wagner), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Wagner 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 $15,531,642.00 on January 19, 2022.

Client alleged FA employed unsuitable options investment strategy.

Broker Jonathan Dickson in Morgan Stanley Firm Has Customer Complaint

December 26, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jonathan Dickson (Dickson), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Dickson 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 $12,000.00 on January 25, 2022.

Client alleged misreprsentation with respect to rate of fees charged on managed accounts 2012 – 202121

Broker Barry Gilrane in LPL Enterprise, LLC Firm Has Customer Complaint

December 26, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Barry Gilrane (Gilrane), currently associated with LPL Enterprise, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Gilrane 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 January 21, 2022.

Client alleges the rep recruited him for employment at his prior firm and omitted material facts concerning the opportunity and made representations that were false and misleading.

Broker Anthony Giuliano in Osaic Wealth, INC. Firm Has Customer Complaint

December 26, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Anthony Giuliano (Giuliano), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Giuliano 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 January 24, 2022.

During the period of 2015-2022, Claimant alleges breach of fiduciary duty and negligence relating to the sale of real estate investment trusts.

There are Recent Customer Complaints with Broker Kim Dingee in Firm Ameriprise Financial Services, LLC

December 26, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kim Dingee (Dingee), previously associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Dingee 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 $99,999.99 on January 21, 2022.

Claimant alleges that she was sold an unsuitable, risky and complex alternative investment product, FSKR

Broker Christopher Mc Caffrey in Morgan Stanley Firm Has Customer Complaint

December 26, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Mc Caffrey (Mc Caffrey), previously associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Mc Caffrey 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 $15,531,642.00 on January 19, 2022.

Client alleged that FA recommended an unsuitable options investment strategy. 2018 to 2021

Broker Jonathan Cummings in LPL Financial LLC Firm Has Customer Complaint

December 26, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jonathan Cummings (Cummings), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Cummings 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 January 21, 2022.

Claimant alleges misrepresentation and omissions of material fact, negligence and the sale of an unsuitable investment relative to the purchase of a real estate investment trust. Time period is 10/2014 through 12/2020.

Broker Nicolas Barrios in UBS Financial Services INC. Firm Has Customer Complaint

December 26, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on January 21, 2022.

Time Frame: 2012-2019 \, \, Allegations: POA for Claimant alleges FA Barrios invested in unsuitable speculative start up software company, provided falsified account statements to Claimant, and misappropriated Claimant’s funds invested.