Reg BI

There are Recent Customer Complaints with Broker Gregory Stein in Firm MML Investors Services, LLC

September 10, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on April 17, 2023.

The complainant alleges that beginning in 2022, quarterly tax estimates weren’t made related to a distribution, and stock was sold from his account without his authorization, which has put him in a higher tax bracket and has caused him financial harm.

There are Recent Customer Complaints with Broker Cindy Chiellini in Firm Centaurus Financial, INC.

September 10, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Cindy Chiellini (Chiellini), previously associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Chiellini 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 12, 2023.

In mid-2019, the customer alleges that the Registered Representative recommended risky, illiquid, complex and high-risk investments.

Broker Rory Pinsky in Cetera Investment Services LLC Firm Has Customer Complaint

September 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Rory Pinsky (Pinsky), currently associated with Cetera Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Pinsky 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 $26,000.00 on May 12, 2023.

Claimants allege that new account paperwork was completed without their authorization

Broker Daniel Werts in Madison Avenue Securities, LLC Firm Has Customer Complaint

September 8, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint with a damage request of $1,157,000.00 on April 25, 2023.

In regard to investments in GWG L Bonds, the clients allege breach of fiduciary duty, violations of Regulation Best Interest, violations of FINRA rules 2010,2020,2111.05(a), 3110, breach of contract and vicarious liability.

There are Recent Customer Complaints with Broker James Appel in Firm Centaurus Financial, INC.

September 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Appel (Appel), currently associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Appel 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 May 15, 2023.

In April 2019, July 2020 and October 2020, the customer alleges that the Registered Representative misrepresented the investment and breached his fiduciary duty.

There are Recent Customer Complaints with Broker Melanie St Franc in Firm Osaic Wealth, INC.

September 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Melanie St Franc (St Franc), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that St Franc 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 April 30, 2023.

Client alleges that a 2022 variable annuity purchase was misrepresented.

Broker Enkofi John in Cetera Investment Services LLC Firm Has Customer Complaint

September 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Enkofi John (John), previously associated with Cetera Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that John 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 $26,000.00 on May 12, 2023.

Claimants allege that new account paperwork was completed without their authorization

Broker Christopher Burch in MML Investors Services, LLC Firm Has Customer Complaint

September 8, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint with a damage request of $361,136.00 on April 28, 2023.

Suitability

Broker James Raper in Wealthforge Securities, LLC / Wealthforge Distributors, LLC Firm Has Customer Complaint

September 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Raper (Raper), currently associated with Wealthforge Securities, LLC / Wealthforge Distributors, LLC, has at least 7 disclosable events. These events include 7 customer complaints, alleging that Raper 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 $552,535.65 on May 02, 2023.

From investment activity in 2019, claimant alleges the following: \, failure to conduct reasonable due diligence\, negligence\, failure to disclose material facts\, failure to conduct suitability \, Failure to supervise\, misrepresentation and omissions\, breach of contract\, breach of fiduciary duty

Broker Simon Joseph in LPL Financial LLC Firm Has Customer Complaint

September 8, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on May 11, 2023.

Client alleges losses of over $250,000 in January of 2022 due to unauthorized trades, unsuitable recommendations, misrepresentation, failure to supervise by Truist, breach of fiduciary duty and violation of Virginia securities laws with respect to an account held by the claimants at representative’s previous firm.