Reg BI

There are Recent Customer Complaints with Broker James Kekeris in Firm Moloney Securities Co., INC.

September 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Kekeris (Kekeris), currently associated with Moloney Securities Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Kekeris 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 $750,000.00 on May 02, 2023.

Suitability/negligence. 2015-2023

There are Recent Customer Complaints with Broker Merriam Rink in Firm Ausdal Financial Partners, INC.

September 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Merriam Rink (Rink), currently associated with Ausdal Financial Partners, INC., has at least one disclosable event. These events include one customer complaint, alleging that Rink 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 April 24, 2023.

Unsuitable investments, Violations of Securities Laws, Breach of Fiduciary Duty.

Broker Paul Weston in Trustmont Financial Group, INC. Firm Has Customer Complaint

September 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Paul Weston (Weston), previously associated with Trustmont Financial Group, INC., has at least one disclosable event. These events include one customer complaint, alleging that Weston 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 $100,000.00 on May 04, 2023.

Plaintiff states gross negligence, carelessness, recklessness, and intentional willful acts of the defendants in the loss of $100,000.00 to the account.

There are Recent Customer Complaints with Broker Stanley Smith in Firm Wells Fargo Clearing Services, LLC

September 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stanley Smith (Smith), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Smith 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 $250,000.00 on April 26, 2023.

Claimant alleges his Financial Advisor (FA) recommended an investment strategy unsuitable for Claimant.

There are Recent Customer Complaints with Broker Bruce Westphal in Firm Ameriprise Financial Services, LLC

September 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bruce Westphal (Westphal), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Westphal 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 $10,832.74 on September 12, 2024.

The client alleged that the advisor informed her that she would continue her 5% increase to the benefit base of her RiverSource Roth IRA annuity, as long as she did not access funds from the annuity during a 2022 meeting.

There are Recent Customer Complaints with Broker Thomas Monahan in Firm Bcg Securities, INC.

September 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Monahan (Monahan), currently associated with Bcg Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Monahan 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 $90,000.00 on May 02, 2023.

In June, 2020, Customer purchased an equity position in Silicon Valley Bank (SIVPQ) which lost value in April 2023. Customer alleges rep was negligent in allowing customer to purchase and hold the position.

There are Recent Customer Complaints with Broker Michael Cox in Firm Nylife Securities LLC

September 8, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on June 10, 2024.

Customer alleges the Variable Universal Life Insurance policy he purchased in April 1997 was not clearly explained and as a result, the policy eventually lapsed.

Broker Robert Scherzer in Wells Fargo Advisors Financial Network, LLC Firm Has Customer Complaint

September 8, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on May 01, 2023.

Customer complained that the financial advisor failed to follow his instructions to exit him from all risky investments and bank failed in which customer owned stock. (3/23/2023-5/1/2023)

Broker John Saunders in UBS Financial Services INC. Firm Has Customer Complaint

September 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Saunders (Saunders), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Saunders 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 $400,000.00 on May 11, 2023.

Time frame: January 2013 – May 2023 \, \, Allegations: Claimant alleges unsuitability regarding recommendations made by the FA for products that did not meet Claimant’s liquidity needs.

There are Recent Customer Complaints with Broker George Mccaffrey in Firm Ntb Financial Corporation

September 8, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint on April 27, 2023.

Respondent McCaffrey failed to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA request to provide information concerning the status of compliance.