Reg BI

There are Recent Customer Complaints with Broker Neil Auricchio in Firm Joseph Stone Capital L.l.c.

December 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Neil Auricchio (Auricchio), previously associated with Joseph Stone Capital L.l.c., has at least one disclosable event. These events include one customer complaint, alleging that Auricchio 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 $75,000.00 on January 12, 2022.

Alleged violations of state and federal securities laws including alleged excessive and unsuitable trading.

Broker Michael Mcilvoy in Edward Jones Firm Has Customer Complaint

December 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Mcilvoy (Mcilvoy), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Mcilvoy 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 $14,332.82 on January 13, 2022.

The client alleges that the financial advisor sold shares of T and purchased shares of AZNAX on 11/23/2021 without his authorization.

Broker Andrew Hess in Ameriprise Financial Services, LLC Firm Has Customer Complaint

December 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andrew Hess (Hess), previously associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hess 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 $300,000.00 on January 10, 2022.

Claimants allege that Respondent failed to properly allocate and diversify their investment portfolio and that they were recommended unsuitable alternative investments including Carey Watermark/Watermark Lodging Trust REIT and FSEP.

Broker Eugene Garner in LPL Financial LLC Firm Has Customer Complaint

December 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eugene Garner (Garner), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Garner 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 $650,000.00 on January 11, 2022.

Omission/misrepresentation in connection with hold recommendation of Energy 11, Energy 12 and SOAEX.

Broker Jose Del Valle in Nationwide Planning Associates INC. Firm Has Customer Complaint

December 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jose Del Valle (Del Valle), currently associated with Nationwide Planning Associates INC., has at least one disclosable event. These events include one customer complaint, alleging that Del Valle 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 $1,000,000.00 on January 10, 2022.

Time frame: From 2013 through 2020. Allegations: Claimant alleges her investments in Puerto Rico closed-end funds were unsuitable, over-concentrated, and misrepresented as safe investments.

There are Recent Customer Complaints with Broker Timothy Gorsuch in Firm LPL Financial LLC

December 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Timothy Gorsuch (Gorsuch), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Gorsuch 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 January 05, 2022.

Customer alleges a failure to follow an instruction to purchase mutual fund on July 1, 2019

Broker Sandra Mckoy in Kovack Securities INC. Firm Has Customer Complaint

December 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sandra Mckoy (Mckoy), currently associated with Kovack Securities INC., has at least one disclosable event. These events include one customer complaint, alleging that Mckoy 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 January 11, 2022.

Client alleges investment was unsuitable

Broker James Pardy in Joseph Stone Capital L.l.c. Firm Has Customer Complaint

December 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Pardy (Pardy), previously associated with Joseph Stone Capital L.l.c., has at least one disclosable event. These events include one customer complaint, alleging that Pardy 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 $2,807,663.24 on January 12, 2022.

Failure to supervise

There are Recent Customer Complaints with Broker Gerald Donovan in Firm Northwestern Mutual Investment Services, LLC

December 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gerald Donovan (Donovan), currently associated with Northwestern Mutual Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Donovan 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 $81,374.00 on January 13, 2022.

The customer alleged that he would not have transferred his funds to the Northwestern Mutual Investment Services advisory account if he would have been made aware of the tax consequences of the transaction.

There are Recent Customer Complaints with Broker Marcus Seifert in Firm Fbl Marketing Services, LLC

December 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Marcus Seifert (Seifert), previously associated with Fbl Marketing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Seifert 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 $57,335.00 on January 12, 2022.

The client alleges the RR failed to follow instructions in moving a qualified retirement plan to an IRA. This cost the client $57,335 in IRS and state tax penalties.