Reg BI

Broker Jonathan Prestridge in Cetera Wealth 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 Jonathan Prestridge (Prestridge), currently associated with Cetera Wealth Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Prestridge 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 $200,000.00 on May 02, 2023.

Client alleges that registered representative misrepresented third party managed program, resulting in $200,000 in damages.

There are Recent Customer Complaints with Broker Shaun Grimaldi in Firm Garden State Securities, INC.

September 8, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a award / judgment customer complaint with a damage request of $4,000,000.00 on May 09, 2023.

Allegations per arbitration filing.

Broker Kevin Duffy in Raymond James & Associates, INC. Firm Has Customer Complaint

September 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Duffy (Duffy), previously associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Duffy 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 $363,600.00 on April 27, 2023.

Client alleges FA neglected fiduciary responsibilities when recommending investments. Allegation Activity Dates: 1/9/2019 – 1/18/2023.

Broker Nick Therrien in PFS Investments INC. Firm Has Customer Complaint

September 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nick Therrien (Therrien), currently associated with PFS Investments INC., has at least one disclosable event. These events include one customer complaint, alleging that Therrien 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 April 26, 2023.

Claimants allege mr. Therrien made unsuitable recommendations and investments in claimant’s pfsi accounts.

Broker William Loberg in Cetera Wealth 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 William Loberg (Loberg), currently associated with Cetera Wealth Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Loberg recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on May 02, 2023.

Customer alleges unsuitable investment recommendations which resulted in losses.

There are Recent Customer Complaints with Broker Jason Cook in Firm Berthel, Fisher & Company Financial Services, INC.

September 8, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on May 09, 2023.

The claimant alleged the investments purchased from 2010-2017 were unsuitable and misrepresented to him by the representative. The claimant alleged the firm failed to conduct due diligence on the investments and failed to supervise the representative’s activities.

There are Recent Customer Complaints with Broker Darryl Hall in Firm LPL Financial LLC

September 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Darryl Hall (Hall), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hall 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 $119,976.00 on May 03, 2023.

The clients alleged that recommendations in 2014 to purchase a VA and life insurance were not suitable based on low performance.

Broker Luis Rodriguez in Private Portfolio, INC. Firm Has Customer Complaint

September 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Luis Rodriguez (Rodriguez), currently associated with Private Portfolio, INC., has at least one disclosable event. These events include one customer complaint, alleging that Rodriguez 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 May 10, 2023.

In January 2022, customer bought shares and held them in her account, with several subsequent buys and sells. In May 2023, customer initiated a verbal complaint alleging that she did not authorize the initial purchase on January 6, 2022. The matter was resolved to the satisfaction of both parties, with a final settlement in July 2023.

Broker Dylan Shepherd in Wells Fargo Clearing 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 Dylan Shepherd (Shepherd), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Shepherd 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 May 10, 2023.

Claimant alleges the advisor recommended an unsuitable Oil & Gas investment.

There are Recent Customer Complaints with Broker Ernie Kloock in Firm UBS Financial Services INC.

September 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ernie Kloock (Kloock), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Kloock 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 $206,000.00 on May 02, 2023.

Time frame: 2021-2023 \, Claimant’s Counsel alleges that the recommendations to purchase and overconcentrate the clients’ accounts in preferred stock were unsuitable. Counsel further alleges the risks associated with preferred stock were not explained, the clients instructions to sell the stock were refused as well as other instructions given by the client were not followed.