Reg BI

There are Recent Customer Complaints with Broker Donna Mackay in Firm Morgan Stanley

September 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Donna Mackay (Mackay), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Mackay 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 28, 2023.

Claimant alleges, inter alia, breach of fiduciary duty with respect to transfer of death designation added to the client’s account.

There are Recent Customer Complaints with Broker Jorge Pesquera 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 Jorge Pesquera (Pesquera), previously associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Pesquera 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 25, 2023.

Claimant alleges the recommendation to invest in and hold Puerto Rico closed-end funds was unsuitable, and that his accounts were unsuitably over concentrated in Puerto Rico investments. He also alleges that the risks of investing in and concentration in Puerto Rico investments was misrepresented.

There are Recent Customer Complaints with Broker John Friedman in Firm Morgan Stanley

September 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Friedman (Friedman), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Friedman 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 $87,000.00 on May 04, 2023.

Customer alleges unsuitable recommendation regarding managed account investment. Activity dates 4/28/2020 to 5/9/2023.

There are Recent Customer Complaints with Broker Charles Dowds in Firm MML Investors Services, LLC

September 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Charles Dowds (Dowds), currently associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Dowds 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 $5,000.00 on May 05, 2023.

The customer alleged that their variable life insurance policy was misrepresented by the representatives in terms of subaccount returns and premiums being sufficient to fund the policy and the subaccounts being invested into the agreed upon asset allocations throughout the policy’s administration which began in 1999.

Broker Anthony Cristiano in RBC Capital Markets, LLC Firm Has Customer Complaint

September 8, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on April 25, 2023.

Time Frame: November 22, 2022 – November 23, 2022 What were the allegations against theindividual? The client alleges her former Financial Advisor did not have her best interest inmind regarding the activity from the sales of the Mutual Funds and UIT purchases. The allegeddamages are estimated to be in excess of $5,000.00

Broker Steven Lasky in Voya Financial Advisors, INC. Firm Has Customer Complaint

September 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven Lasky (Lasky), currently associated with Voya Financial Advisors, INC., has at least one disclosable event. These events include one customer complaint, alleging that Lasky 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, 2024.

Claimant alleged that the Representative misrepresented a Real Estate Investment Trust that resulted in a substantial loss. Claimant further alleged that the Representative misrepresented the risks and potential for future income and growth.

There are Recent Customer Complaints with Broker Guy Harrigan in Firm Lion Street Financial, LLC

September 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Guy Harrigan (Harrigan), previously associated with Lion Street Financial, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Harrigan 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 $325,000.00 on April 26, 2023.

Claim alleges damages related to the unsuitable sale of alternative investments.

Broker Richard Hohol in Cetera Advisor Networks LLC Firm Has Customer Complaint

September 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Hohol (Hohol), previously associated with Cetera Advisor Networks LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hohol 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.

Broker Robert Eisenberg in Osaic Fa, INC. Firm Has Customer Complaint

September 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Eisenberg (Eisenberg), previously associated with Osaic Fa, INC., has at least one disclosable event. These events include one customer complaint, alleging that Eisenberg 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.

Claimants allege the advisor recommended an unsuitable Oil & Gas investment.

Broker Randolph Peters 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 Randolph Peters (Peters), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Peters 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 $100,000.00 on May 04, 2023.

Client alleges that annuity was misrepresented and unsuitable recommendation and sale of a variable annuity.