Reg BI

There are Recent Customer Complaints with Broker Ross Hoffman in Firm Fortune Financial Services, INC.

August 29, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ross Hoffman (Hoffman), currently associated with Fortune Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Hoffman 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 $637,000.00 on June 26, 2023.

Clients allege that the 1035 exchange into a new Pacific Life Indexed Universal Life insurance policy was not suitable for them. Also allege that the premium financing recommded was not suitable and that the loan payments are excessive.

There are Recent Customer Complaints with Broker Rogerio Almeida in Firm Edward Jones

August 28, 2025 | by Staff Attorney

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

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

Without admitting or denying the findings, Almeida consented to the sanctions and to the entry of findings that he conducted OBAs as a mortgage loan officer without providing prior written notice to his member firm. The findings stated that Almeida earned $35,026 in commissions from those activities. Ultimately, Almeida submitted an OBA form to the firm, disclosing that he had a mortgage license with a mortgage company and inaccurately stating he was not working as a loan officer. The firm rejected the OBA, however, Almeida continued to work as a loan officer after the firm’s rejection.

There are Recent Customer Complaints with Broker Kyle Doege in Firm RBC Capital Markets, LLC

August 28, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on June 27, 2023.

The client had a concern in June 2023 regarding the death benefit on his variable annuity being less than the original cash value.

There are Recent Customer Complaints with Broker Kenji Saito in Firm Centaurus Financial, INC.

August 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kenji Saito (Saito), previously associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Saito 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 $75,000.00 on June 29, 2023.

The customer alleges that in September 2019, the Registered Representative recommended a high-risk, illiquid and unsuitable investment.

There are Recent Customer Complaints with Broker Scott Taylor in Firm Northwestern Mutual Investment Services, LLC

August 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Scott Taylor (Taylor), previously associated with Northwestern Mutual Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Taylor 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 $15,771.00 on June 30, 2023.

Customer alleges that in or around August 2021, the Representative failed to act in the customer’s best interests when the Representative recommended the customer purchase a variable universal life insurance policy that the customer alleges is not suitable for their needs and goals.

There are Recent Customer Complaints with Broker Matthew Cannariato in Firm Wells Fargo Clearing Services, LLC

August 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Cannariato (Cannariato), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Cannariato 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 $13,439.00 on June 28, 2023.

Customer alleges misrepresentation regarding a managed account investment. Activity dates 5.12.21 – 5.12.21.

There are Recent Customer Complaints with Broker Frederick Azzurro in Firm Osaic Wealth, INC.

August 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Frederick Azzurro (Azzurro), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Azzurro 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 $5,000.00 on June 27, 2023.

Customer alleges funds were misappropriated by representative to customer’s spouse in 2013.

There are Recent Customer Complaints with Broker Adam Donlevie in Firm Centaurus Financial, INC.

August 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Adam Donlevie (Donlevie), currently associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Donlevie 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 $45,000.00 on June 29, 2023.

In July 2020, the customer alleges that the Registered Representative recommended a high-risk, illiquid and unsuitable investment.

There are Recent Customer Complaints with Broker Brian Currie in Firm Morgan Stanley

August 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Currie (Currie), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Currie 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 $70,283.32 on June 28, 2023.

Claim alleges, inter alia, breach of fiduciary duty with respect to trading in managed account (2020 -2023)

Broker Jamie Worden in Worden Capital Management LLC Firm Has Customer Complaint

August 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jamie Worden (Worden), previously associated with Worden Capital Management LLC, has at least 8 disclosable events. These events include one customer complaint, 7 regulatory events, alleging that Worden recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on July 05, 2023.

Respondent Worden 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.