Reg BI

Broker Jesse Burns in Fidelity Brokerage Services LLC Firm Has Customer Complaint

November 25, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jesse Burns (Burns), currently associated with Fidelity Brokerage Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Burns 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 $22,873.74 on May 13, 2022.

Customer alleged that the representative misrepresented the risk of investments losses in her managed account.

There are Recent Customer Complaints with Broker Javier Rojo in Firm J.P. Morgan Securities LLC

November 25, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Javier Rojo (Rojo), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Rojo 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 $78,467.67 on May 15, 2022.

Customer alleges misrepresentation and unauthorized trading regarding managed investment account. Activity dates 4/1/22 – 5/9/22.

Broker Adam Feierstein in Proequities, INC. Firm Has Customer Complaint

November 25, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Adam Feierstein (Feierstein), previously associated with Proequities, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Feierstein 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 May 16, 2022.

Claimants allege that Mr. Feierstein recommended an unsuitable investment.

Broker Randal Egan in Edward Jones Firm Has Customer Complaint

November 25, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on May 18, 2022.

Client alleges he instructed his financial advisor to liquidate his account, but the order was not executed until days later resulting in market loss.

There are Recent Customer Complaints with Broker Daniel Freeman in Firm Morgan Stanley

November 25, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on May 13, 2022.

Client alleges that her mutual funds were sold without her authorization in 2014. damages unspecified

Broker Jeremy Mikkelsen in Edward Jones Firm Has Customer Complaint

November 25, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeremy Mikkelsen (Mikkelsen), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Mikkelsen 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 $120,766.00 on May 15, 2022.

Claimants are the daughters of the deceased client. The Claimants assert their Statement of Claim is twofold. First, they allege wanton disregard and lack of due diligence to assist the deceased client’s heirs. Second, they allege a lack of fiduciary responsibility and due diligence, deceptive practices, elder abuse fraud, suitability, and lack of supervision.

There are Recent Customer Complaints with Broker Victor Ramirez in Firm Bbva Securities INC.

November 25, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Victor Ramirez (Ramirez), previously associated with Bbva Securities INC., has at least one disclosable event. These events include one customer complaint, alleging that Ramirez 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 May 17, 2022.

Plaintiff’s alleged representative bore responsibility for their failure to pay insurance premiums leading to the lapse of a life insurance policy.

There are Recent Customer Complaints with Broker Steven Baumrucker in Firm Private Client Services, LLC

November 25, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven Baumrucker (Baumrucker), currently associated with Private Client Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Baumrucker 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 $25,000.00 on May 16, 2022.

The Statement of Claim alleges the financial professional recommended an investment that was unsuitable for\, his customer.

Broker William Carter in Ameriprise Financial Services, LLC Firm Has Customer Complaint

November 25, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Carter (Carter), previously associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Carter 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 May 19, 2022.

Clients alleged that an unnecessary delay by their advisor with respect to their request to liquidate their portfolio, including their advisory accounts, caused market losses.

There are Recent Customer Complaints with Broker Keith Cuomo in Firm Chelsea Financial Services

November 25, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on May 17, 2022.

The complainant alleges, that on January 24, 2022, she was sold a fixed index annuity, and the registered representative misrepresented several key factors of the product.