Reg BI

Broker Velma Colfack in Ameriprise Financial Services, LLC Firm Has Customer Complaint

March 8, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Velma Colfack (Colfack), previously associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Colfack 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 $20,174.19 on February 10, 2021.

Plaintiffs allege breaches of fiduciary duties and negligence in connection with the execution of change of beneficiary instructions allegedly provided by account holder. Activity time period is 6/20/20 – 10/20/20

Broker Taek Chong in Raymond James Financial Services, INC. Firm Has Customer Complaint

March 8, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Taek Chong (Chong), previously associated with Raymond James Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Chong 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 $73,814.52 on February 09, 2021.

Former FA charged commissions to client [REDACTED] Securities Trust Co., Ltd., in excess of the applicable rate using “dummy” confirmations.

Broker Robert Martin in Osaic Institutions, INC. Firm Has Customer Complaint

March 8, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Martin (Martin), currently associated with Osaic Institutions, INC., has at least one disclosable event. These events include one customer complaint, alleging that Martin 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 February 10, 2021.

At the time of the sale the rep did not disclose the 1% penalty for withdrawals during the first 18 months.

There are Recent Customer Complaints with Broker Scott Wick in Firm RBC Capital Markets, LLC

March 8, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on February 12, 2021.

Client cites failure to supervise client’s financial advisor, which she alleges did not complete changes she authorized in an email to her financial advisor in February 2020. Client requests that her accounts be restored to their January 2, 2020 values.

There are Recent Customer Complaints with Broker Andrew Lewis in Firm Sanctuary Securities, INC.

March 8, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andrew Lewis (Lewis), previously associated with Sanctuary Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Lewis 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 $763,322.10 on February 12, 2021.

Representative was named in a customer complaint that asserted the following causes of action: fraud and negligent misrepresentation.

There are Recent Customer Complaints with Broker Howard Romero in Firm LPL Financial LLC

March 8, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on February 10, 2021.

Customer alleges that she did not authorize the sale of apple shares on April 2, 2020, and that other investments were unsuitable. Customer seeks return of mismanaged funds. Activity dates: 4/2/20 to 1/18/21.

Broker James Pucciarelli in Morgan Stanley Firm Has Customer Complaint

March 8, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Pucciarelli (Pucciarelli), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Pucciarelli 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 February 11, 2021.

Claimant alleges, inter alia, unsuitability with respect to equity investment – Aug 2015 to Jul 2020

There are Recent Customer Complaints with Broker William Slattery in Firm Cetera Wealth Services, LLC

March 8, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Slattery (Slattery), currently associated with Cetera Wealth Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Slattery 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 $65,000.00 on February 16, 2021.

Claimants allege their registered representative recommended unsuitable and illiquid alternative investments.

There are Recent Customer Complaints with Broker Richard Jones in Firm Nylife Securities LLC

March 7, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Jones (Jones), previously associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Jones 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 $20,221.67 on February 16, 2021.

Customer alleges that he proceeded with the purchase of a Variable Annuity in February 2015 with the understanding that his rate of return would be a minimum of 4% and that the tax consequences of any withdrawals or reallocation into a bond portfolio were not explained. Customer has requested a refund of his money without penalty.Customer has reiterated his complaint on 2/16/2021 and alleged that he was sold the wrong product.

Broker Eric James in Newbridge Securities Corporation Firm Has Customer Complaint

March 7, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on April 07, 2021.

Suitability