Reg BI

There are Recent Customer Complaints with Broker Cindy Hanerhoff in Firm Private Portfolio, INC.

August 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Cindy Hanerhoff (Hanerhoff), currently associated with Private Portfolio, INC., has at least one disclosable event. These events include one customer complaint, alleging that Hanerhoff 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 $168,000.00 on September 15, 2022.

Client alleges that investments in her account are unsuitable based on her risk tolerance.

There are Recent Customer Complaints with Broker Stephen Spahr in Firm Janney Montgomery Scott LLC

August 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stephen Spahr (Spahr), previously associated with Janney Montgomery Scott LLC, has at least one disclosable event. These events include one customer complaint, alleging that Spahr 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 $200,000.00 on September 27, 2022.

Claimant makes claims for poor recommendation.

Broker Michael Chernoff in Osaic Wealth, INC. Firm Has Customer Complaint

August 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Chernoff (Chernoff), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Chernoff 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 $90,000.00 on September 22, 2022.

Claimants allege conversion and negligence with regard to the transfer and release of assets in a family trust account after the death of trustees.

Broker Douglas Gow in Dempsey Lord Smith, LLC Firm Has Customer Complaint

August 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Douglas Gow (Gow), currently associated with Dempsey Lord Smith, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Gow 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 $60,333.33 on September 20, 2022.

In April, 2016, the client purchased $100,000 of GWG Holdings, Inc. The allegations in the statement of claim included unsuitability of the investment for the claimant, breach of fiduciary duty by the firm and, material misrepresentations and omissions of information to the client.

There are Recent Customer Complaints with Broker James Tausz in Firm United Planners’ Financial Services of America A Limited Partner

August 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Tausz (Tausz), currently associated with United Planners’ Financial Services of America A Limited Partner, has at least one disclosable event. These events include one customer complaint, alleging that Tausz recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on October 04, 2022.

Breach of fiduciary duty, suitability, Securities Act, Common Law Fraud and Common Law Negligence, violation of FINRA Rule 2210, violation of FINRA rules 2010, IM-2310-2, and 2020, fraudulent misrepresentations and omissions, and breach of contract.

There are Recent Customer Complaints with Broker Joseph Appolito in Firm Commonwealth Financial Network

August 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Appolito (Appolito), currently associated with Commonwealth Financial Network, has at least one disclosable event. These events include one customer complaint, alleging that Appolito 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 September 15, 2022.

Breach of fiduciary duty, unsuitability, material misrepresentations and omission, breach of contract, violation of California securities law, violation of FINRA rules 2010, IM-2310-2, and 2020.

There are Recent Customer Complaints with Broker Nicholas Buttler in Firm Spartan Capital Securities, LLC

August 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nicholas Buttler (Buttler), currently associated with Spartan Capital Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Buttler 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 $200,000.00 on June 09, 2025.

Unsuitable trading activity, unauthorized transactions, and excessive commissions

Broker Qusai Aljamous in Nylife Securities LLC Firm Has Customer Complaint

August 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Qusai Aljamous (Aljamous), previously associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Aljamous 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 $400,000.00 on June 09, 2025.

Customer alleges that he was advised by the registered representative to open an options account with Merrill Lynch/Bank of America, and the registered representative proceeded to trade within the account causing the customer to incur losses.

There are Recent Customer Complaints with Broker Thomas Windsor in Firm Wells Fargo Clearing Services, LLC

August 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Windsor (Windsor), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Windsor 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 $1,003,025.92 on June 10, 2025.

Claimant alleges that in April 2025, the registered representative failed to follow\, instructions.

Broker Bakhtiar Hussaini in Santander Securities LLC Firm Has Customer Complaint

August 17, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on June 06, 2025.

Client alleges that the Registered Index-Linked Annuities were not made clear to her and that she did not knowingly authorize them. Client also alleges that a withdrawal was processed from her IRA account and that she would have not knowingly agreed to withdraw funds from her IRA.