Reg BI

There are Recent Customer Complaints with Broker Ante Feric in Firm Pruco Securities, LLC.

July 26, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ante Feric (Feric), previously associated with Pruco Securities, LLC., has at least one disclosable event. These events include one customer complaint, alleging that Feric 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 $20,120.66 on March 18, 2020.

Client alleges misrepresentation regarding mutual fund investment. Activity dates 02/20/2020-02/20/2020.

There are Recent Customer Complaints with Broker Frank Hemmen in Firm Morgan Stanley

July 26, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 18, 2020.

Client alleges that his fa sold a municipal bond in her account without her authorization. Damages unspecified, 2020

Broker Ronald Reilly in Wells Fargo Clearing Services, LLC Firm Has Customer Complaint

July 26, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 18, 2020.

Clients complain that the financial Advisor confirmed their account had been liquidated when, in fact, it had not. (2/28/2020)

Broker Clement Chichester in Western International Securities, INC. Firm Has Customer Complaint

July 26, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Clement Chichester (Chichester), previously associated with Western International Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Chichester 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 March 19, 2020.

Unsuitable Recommendations

There are Recent Customer Complaints with Broker Errol Griffiths in Firm Tiaa-cref Individual & Institutional Services, LLC

July 25, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Errol Griffiths (Griffiths), previously associated with Tiaa-cref Individual & Institutional Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Griffiths recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on March 23, 2020.

The customer alleges failure to disclose charges, expenses and fees, guarantees and risks and the free look provision. This complaint was received on 1/14/20 but was not reported because it did not meet our criteria for reporting. The complaint is now being reported due to the settlement amount of $31,500.

Broker Espen Platou in Osaic Wealth, INC. Firm Has Customer Complaint

July 25, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Espen Platou (Platou), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Platou 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 $5,365.00 on March 20, 2020.

Client alleges that he instructed that funds sent to his outside money manager be kept in cash, but instead they were invested in the market. The client is requesting the account loss in value. It was determined that the third-party money manager made the error.

Broker Angel Curbelo in Vanderbilt Securities, LLC Firm Has Customer Complaint

July 25, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 24, 2020.

The client alleges unsuitable investment recommendations from February 2020 through March 2020.

Broker Elizabeth Knier in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

July 25, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Elizabeth Knier (Knier), previously associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Knier recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on March 23, 2020.

The Customers alleges failure to follow instructions from December 2019 to March 2020.

Broker Scotty Hendricks in Ameritas Investment Company, LLC Firm Has Customer Complaint

July 25, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Scotty Hendricks (Hendricks), currently associated with Ameritas Investment Company, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hendricks 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 $23,014.00 on March 20, 2020.

Customer alleges the variable annuity he purchased in or around February 2018 is not suitable for his financial needs.

Broker Blair Cannon in UBS Financial Services INC. Firm Has Customer Complaint

July 25, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 23, 2020.

Time Frame: March 18, 2020 to March 19, 2020 \<char_lb_r>\, The client alleges his trades were not completed as instructed. The alleged damages are estimated to be in excess of $5,000.00.