Reg BI

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

May 13, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on April 09, 2026.

Claimant alleges that in August 2024 the FA made unsuitable investments.

There are Recent Customer Complaints with Broker Scott Lauritzen in Firm Wells Fargo Clearing Services, LLC

May 13, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on April 03, 2026.

Plaintiff alleges that the FA failed to follow instructions to transfer monies from a brokerage account.

There are Recent Customer Complaints with Broker Thomas Kroehle in Firm Osaic Wealth, INC.

May 13, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Kroehle (Kroehle), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Kroehle 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 April 02, 2026.

Claimants allege the FP recommended unsuitable alternative investments.

There are Recent Customer Complaints with Broker Tony Barouti in Firm Emerson Equity LLC

May 13, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Tony Barouti (Barouti), currently associated with Emerson Equity LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Barouti recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on April 02, 2026.

Breach of fiduciary duty, negligence and negligent misrepresentation, breach of contract, overconcentration (negligence and breach of fiduciary duty), violation of Regulation Best Interest. Investments purchased between 2019 and 2020

Broker Michael Siek in Dominari Securities LLC Firm Has Customer Complaint

May 13, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Siek (Siek), currently associated with Dominari Securities LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Siek recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on March 31, 2026.

The claimants allege unsuitable investments, breach of fiduciary duty, negligent supervision, violation of Regulation Best Interest

There are Recent Customer Complaints with Broker Ralph Jackson in Firm Morgan Stanley

May 13, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ralph Jackson (Jackson), previously associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Jackson 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 $6,272,362.00 on March 31, 2026.

Client’s attorney alleges, inter alia, that the trading implemented in the client’s account was excessive and unsuitable 2021-2025

There are Recent Customer Complaints with Broker Roderick Gosa in Firm Ameriprise Financial Services, LLC

May 13, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Roderick Gosa (Gosa), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Gosa 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 $18,000.00 on March 31, 2026.

The client alleged that the advisor opened an Ameriprise ONE margin account without their knowledge in May of 1999.

Broker James Martin in Morgan Stanley Firm Has Customer Complaint

May 13, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Martin (Martin), previously associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Martin 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 $303,600.00 on April 02, 2026.

Client’s attorney alleged, inter alia, that the fa solicited a personal loan of $303600 from the client in December 2020 which he has refused to repay unless the client grants him a broad release

Broker John Lamont in David Lerner Associates, INC. Firm Has Customer Complaint

May 13, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Lamont (Lamont), currently associated with David Lerner Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Lamont 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 $100,000.00 on April 09, 2026.

Unsuitability, misrepresentation/omission Allegation period: 10/23/2015 the date of the first purchase of Energy 11 to April 9, 2026 the date the SOC was received.

Broker Dylan Allen in Edward Jones Firm Has Customer Complaint

May 12, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dylan Allen (Allen), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Allen 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 $14,350.00 on April 10, 2026.

The client alleges the financial advisor did not provide clear or meaningful explanation of the tax implications and did not verify cost basis information prior to the liquidation of mutual funds.