Reg BI

There are Recent Customer Complaints with Broker Barbaraann Bernatzky in Firm Henley & Company LLC

November 24, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Barbaraann Bernatzky (Bernatzky), previously associated with Henley & Company LLC, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Bernatzky recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on May 23, 2022.

Without admitting or denying the findings, Bernatzky consented to the sanction and to the entry of findings that she refused to appear for on-the-record testimony requested by FINRA in connection with its investigation regarding potential misconduct that occurred her member firm’s branch office.

There are Recent Customer Complaints with Broker Jeffrey Kantar in Firm Northwestern Mutual Investment Services, LLC

November 24, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Kantar (Kantar), currently associated with Northwestern Mutual Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kantar 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 $5,000.00 on May 27, 2022.

Customers alleged misrepresentation of their variable income payment plan contracts.

There are Recent Customer Complaints with Broker Tamara Mckennon in Firm Edward Jones

November 24, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Tamara Mckennon (Mckennon), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Mckennon 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 $30,022.40 on May 20, 2022.

The trustee alleges the financial advisor did not follow instructions to equally distribute assets to the beneficiaries.

There are Recent Customer Complaints with Broker Patricia Mcginley in Firm Morgan Stanley

November 24, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Patricia Mcginley (Mcginley), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Mcginley 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 $94,978.00 on May 20, 2022.

Client alleges, inter alia, misrepresentation with respect to purchase of closed end funds 2021

There are Recent Customer Complaints with Broker Anthony Dibernardo in Firm Hornor, Townsend & Kent, INC.

November 24, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Anthony Dibernardo (Dibernardo), previously associated with Hornor, Townsend & Kent, INC., has at least one disclosable event. These events include one customer complaint, alleging that Dibernardo 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 $70,000.00 on May 24, 2022.

Negligence, misrepresentation, misguided information and lack of advice provided which placed client in a compromising situation.

Broker John Lentz in Morgan Stanley Firm Has Customer Complaint

November 24, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on May 25, 2022.

Client alleges purchases of two mutual funds were unsuitable 2021 damages unspecified

Broker Craig Fishel in Edward Jones Firm Has Customer Complaint

November 23, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on May 27, 2022.

This Customer Complaint did not meet our criteria for reporting initially, its being reported now due to the Settlement.

There are Recent Customer Complaints with Broker Kavi Fulena in Firm Merrill Lynch, Pierce, Fenner & Smith Incorporated

November 23, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on May 27, 2022.

The customer alleges unsuitable investment recommendation in September 2020, misrepresentation and failure to follow instructions to move money out of the market at a certain threshold.

There are Recent Customer Complaints with Broker Lester Iseri in Firm PFS Investments INC.

November 23, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 31, 2025.

Client alleged I failed to disclose the tax consequences of transferring non-qualified assets into a mutual fund account with PFSI

There are Recent Customer Complaints with Broker Dan Holzer in Firm Realta Equities, INC.

November 23, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on September 16, 2024.

Breach of fiduciary duty, suitability, Fraudulently or negligently made material misrepresentations and omissions of material information, Violation of FINRA rules 2010, I-M-2310-2, and 2020, breach of contract