Reg BI

There are Recent Customer Complaints with Broker Aaron Rask in Firm MML Investors Services, LLC

August 17, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on June 10, 2025.

Customer’s Power of Attorney alleges the income and liquid net worth provided for the customer is inaccurate and requests a review of the customer’s policies.

Broker Anna Marie Lovell in Infinity Financial Services Firm Has Customer Complaint

August 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Anna Marie Lovell (Lovell), currently associated with Infinity Financial Services, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Lovell 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 $40,000.00 on June 06, 2025.

Unsuitable Investment Recommendations. Client claims misrepresentation, omission, or failure to disclose material facts.

Broker Dax Weindorf in the Leaders Group, INC. Firm Has Customer Complaint

August 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dax Weindorf (Weindorf), currently associated with the Leaders Group, INC., has at least one disclosable event. These events include one customer complaint, alleging that Weindorf 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 $95,000.00 on June 09, 2025.

Customer alleges that REIT investments recommended by RR were unsuitable.

There are Recent Customer Complaints with Broker Brian Nelson in Firm Emerson Equity LLC

August 17, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on June 10, 2025.

Violation of common law fraud, breach of fiduciary duty, negligence, unsuitable recommendations. In or around 2019

Broker Barbara Wooden in PFS Investments INC. Firm Has Customer Complaint

August 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Barbara Wooden (Wooden), currently associated with PFS Investments INC., has at least one disclosable event. These events include one customer complaint, alleging that Wooden 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 June 06, 2025.

Plaintiff alleges that the investment recommendations made were unsuitable.

There are Recent Customer Complaints with Broker John Lowry 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 John Lowry (Lowry), currently associated with Spartan Capital Securities, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Lowry 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.

Failure to Supervise

Broker Thomas Daniels in Steward Partners Investment Solutions, LLC Firm Has Customer Complaint

August 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Daniels (Daniels), previously associated with Steward Partners Investment Solutions, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Daniels 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 10, 2025.

Client alleges poor account performance.

There are Recent Customer Complaints with Broker John Stapleton 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 John Stapleton (Stapleton), currently associated with Spartan Capital Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Stapleton 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

There are Recent Customer Complaints with Broker Joseph Amato in Firm Alexander Capital, L.p.

August 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Amato (Amato), currently associated with Alexander Capital, L.p., has at least one disclosable event. These events include one customer complaint, alleging that Amato 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 $499,000.99 on June 10, 2025.

Allegations include; breach of fiduciary duties; failure to supervise; negligence and gross negligence; violation of FINRA Rules, violation of the federal securities laws, and violation of the Best Interest Obligations (Reg BI).\, December 2018 & May 2019.

There are Recent Customer Complaints with Broker Richard Widman in Firm LPL Financial LLC

August 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Widman (Widman), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Widman 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 $15,000.00 on June 07, 2025.

Customer’s POA alleges that licensed admin accepted excessive payment for outside business activity.