Reg BI

Broker William Huff in Hornor, Townsend & Kent, LLC Firm Has Customer Complaint

September 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Huff (Huff), currently associated with Hornor, Townsend & Kent, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Huff 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 $130,000.00 on April 03, 2023.

Unsuitable investment

There are Recent Customer Complaints with Broker David Schneider in Firm Morgan Stanley

September 12, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on April 03, 2023.

Claimant alleges, inter alia, unsuitability with regards to investments in account from 2021 through 2022.

There are Recent Customer Complaints with Broker Thomas Shultz in Firm Realta Equities, INC.

September 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Shultz (Shultz), currently associated with Realta Equities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Shultz 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 $40,000.00 on April 05, 2023.

The customer alleged damages related to an investment solicited by Mr. Shultz.

There are Recent Customer Complaints with Broker Foti Kanos in Firm Northwestern Mutual Investment Services, LLC

September 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Foti Kanos (Kanos), currently associated with Northwestern Mutual Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kanos 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 April 04, 2023.

Claimant alleges that a recommendation to surrender a variable annuity to purchase a fixed annuity was not suitable based on the disputed claims that there were withdrawal penalties and that the future payments from the variable annuity would have been greater than the fixed annuity. Claimant further alleges that two other fixed annuities that Claimant purchased were not suitable for the Claimant’s investment needs due to a deferred income payment start date that resulted in a lack of current income. Claimant also alleges the recommendations resulted in excessive commissions.

Broker Jonathan Sheard in Centaurus Financial, INC. Firm Has Customer Complaint

September 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jonathan Sheard (Sheard), currently associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Sheard 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 April 04, 2023.

In November 2020, the customers allege that the Registered Representative improperly recommended an unsuitable, high risk and illiquid investment.

There are Recent Customer Complaints with Broker Daniel Burkott in Firm Cetera Financial Specialists LLC / Cetera Wealth Services, LLC / Cetera Investment Services LLC / Cetera Advisors LLC / Avantax Investment Services, INC.

September 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Burkott (Burkott), currently associated with Cetera Financial Specialists LLC / Cetera Wealth Services, LLC / Cetera Investment Services LLC / Cetera Advisors LLC / Avantax Investment Services, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Burkott 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 $489,898.00 on April 03, 2023.

The statement of claim alleges that the representative failed his duty to maintain and enforce adequate supervisory system.

Broker Seth Waltz in MML Investors Services, LLC Firm Has Customer Complaint

September 12, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on April 06, 2023.

The complainant alleges that his registered representative, on or around October 2015, provided an unsuitable and misrepresented investment recommendation, in which he sustained a monetary loss.

There are Recent Customer Complaints with Broker William Johnson in Firm Cadaret, Grant & Co., INC.

September 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Johnson (Johnson), previously associated with Cadaret, Grant & Co., INC., has at least 6 disclosable events. These events include 6 customer complaints, alleging that Johnson 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 $489,898.00 on April 03, 2023.

Claimant alleges that representative recommended alternative investments that were risky, unsuitable, and illiquid. Claimant further alleges that representative made materially false and misleading statements related to claimant’s assets.

Broker Kevin Nevin in Dempsey Lord Smith, LLC Firm Has Customer Complaint

September 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Nevin (Nevin), previously associated with Dempsey Lord Smith, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Nevin 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 April 06, 2023.

Breach of fiduciary duty, negligence and negligent representation

There are Recent Customer Complaints with Broker David Merola in Firm the Huntington Investment Company

September 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Merola (Merola), currently associated with the Huntington Investment Company, has at least one disclosable event. These events include one customer complaint, alleging that Merola 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 $34,178.00 on April 05, 2023.

Client alleges that the tax consequences of surrendering her variable annuity to fund a managed account were misrepresented and that the product exchange was unsuitable. Alleged activity date was for 3/20/2020.