Articles Posted in Reg BI

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Miller (Miller), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Miller 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 $1,000,000.00 on July 06, 2021.

Time frame:June 2014 – June 2021\, Allegations: Claimant, widower and former opera singer, alleges FA recommended unsuitable concentration in gold, gold mining and silver, the use of a credit line for liquidity, and purchasing a long-term disability care insurance policy, which ultimately lapsed. Claimant alleges the FA received a commission from the policy.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Marinaccio (Marinaccio), previously associated with Worden Capital Management LLC, has at least one disclosable event. These events include one customer complaint, alleging that Marinaccio 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 $653,500.00 on July 07, 2021.

Failure to supervise and negligent supervision; between August 2017 and December 2019.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Sileo (Sileo), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Sileo 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 July 08, 2021.

Unsuitability

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alfredo Yanes (Yanes), previously associated with Western International Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Yanes 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 July 08, 2021.

Unsuitability

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Donald Sperring (Sperring), previously associated with Axa Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Sperring 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 $40,000.00 on July 09, 2021.

Client alleges the RR potentially misappropriated funds in connection with the purchase of a CD investment.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Rajvinder Budwal (Budwal), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Budwal 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 $100,001.00 on July 08, 2021.

Claimants allege the representative recommended an investment that was unsuitable.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Gill (Gill), previously associated with Ameriprise Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Gill 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 $11,709.00 on July 12, 2021.

The client alleged her advisor(s) recommended she purchase and remain invested in an unsuitable real estate investment trust (REIT) from 2007 to the present.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Simon (Simon), currently associated with Cetera Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Simon 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 $10,127.76 on July 09, 2021.

The client alleged the contract was unsuitable based upon needs, annual fees weren’t fully disclosed and the surrender schedule wasn’t shared.

Continue Reading

| by

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

FINRA BrokerCheck shows a settled customer complaint on July 07, 2021.

Claimant alleges that their registered representative recommended unsuitable investments.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lyndon Grey (Grey), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Grey 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 $100,001.00 on July 06, 2021.

Unsuitability

Continue Reading
Contact Information
295 Madison Ave #705
New York, NY 10017
Toll Free: 800-810-4262
3706 N Greenview Ave
#100
Chicago, IL 60613
28 Valley Rd
#1
Montclair, NJ 07042
ATTORNEY ADVERTISING

Please do not include any confidential or sensitive information in a contact form, text message, or voicemail. The contact form sends information by non-encrypted email, which is not secure. Submitting a contact form, sending a text message, making a phone call, or leaving a voicemail does not create an attorney-client relationship.

Copyright © 2026, Gana Weinstein LLP
JUSTIA Law Firm Blog Design