Reg BI

There are Recent Customer Complaints with Broker Andrea Bulow in Firm Emerson Equity LLC

July 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andrea Bulow (Bulow), currently associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bulow 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 $165,000.00 on April 24, 2025.

Violations of Federal Securities Laws; Violations of California Securities Laws; California unfair, unlawful, and fraudulent business practices, Violation of California’s financial elder abuse law; Breach of contract; Common law fraud; Breach of fiduciary duty; Negligence and gross negligence. Purchase made 05/2019.

There are Recent Customer Complaints with Broker Rosser Newton in Firm Skystone Securities, LLC

July 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Rosser Newton (Newton), currently associated with Skystone Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Newton 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 $5,000,000.00 on April 25, 2025.

Claimant’s financial advisor, Stephen Glover Parks (‘Parks’), recommended a wholly unsuitable investment strategy to the Claimant. Specifically, Claimant was solicited to invest in two speculative, alternative investments which were unsuitable for him, but which generated substantial revenue for Respondents. These conflicted recommendations were wholly unsuitable for Claimant, were misrepresented to Claimant, and Respondents failed to conduct appropriate due diligence prior to selling at least one of them. As a result of these recommendations, Claimant lost substantial funds which cannot be recovered outside of this arbitration.

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

July 28, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on April 25, 2025.

Client alleges unauthorized trading in February 2021.

Broker Robert Obraitis in Purshe Kaplan Sterling Investments Firm Has Customer Complaint

July 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Obraitis (Obraitis), currently associated with Purshe Kaplan Sterling Investments, has at least one disclosable event. These events include one customer complaint, alleging that Obraitis 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 $50,000.00 on April 27, 2025.

Client alleges RR mismanaged their account and participated in market manipulation.

Broker Robert Loeb in Purshe Kaplan Sterling Investments Firm Has Customer Complaint

July 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Loeb (Loeb), currently associated with Purshe Kaplan Sterling Investments, has at least one disclosable event. These events include one customer complaint, alleging that Loeb 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 $1,030,000.00 on April 24, 2025.

Client alleges that the rep breached his fiduciary duty by failing to protect her from being scammed by a third party. The client initiated transactions to sell stock with the rep. \, The client in turn used the proceeds to purchase gold that she then delivered to the 3rd party that was scamming her

There are Recent Customer Complaints with Broker John Woods in Firm Oppenheimer & CO. INC.

July 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Woods (Woods), previously associated with Oppenheimer & CO. INC., has at least one disclosable event. These events include one customer complaint, alleging that Woods 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 $500,000.00 on April 24, 2025.

Former FAs allegedly conducted a Ponzi Scheme; Failure to Supervise; Violation of FINRA Rules; Breach of Fiduciary Duty; Respondeat Superior/Agency by Estoppel. From 2013 to 2021

Broker Timothy Darragh in Stifel, Nicolaus & Company, Incorporated Firm Has Customer Complaint

July 28, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on April 25, 2025.

Claimants allege breach of fiduciary duty, negligence, unjust enrichment, violation of The Illinois Consumer Fraud and Deceptive Practices Act, and trust accounting.

There are Recent Customer Complaints with Broker Daniel Stephans in Firm Osaic Fa, INC.

July 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Stephans (Stephans), previously associated with Osaic Fa, INC., has at least one disclosable event. These events include one customer complaint, alleging that Stephans 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 23, 2025.

Customer alleges that REIT was misrepresented at the time of purchase.

There are Recent Customer Complaints with Broker Richard Wick in Firm Northwestern Mutual Investment Services, LLC

July 27, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Wick (Wick), previously associated with Northwestern Mutual Investment Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Wick 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 $83,000.00 on May 01, 2025.

The customer purchased four life insurance policies in or around October 2021, which included three variable universal life insurance policies. The customer alleges the Representative misrepresented the policies’ terms and the impact of loans on the policies; did not inform the customer of fees associated with the policies; and offered to reimburse the customer personally.

There are Recent Customer Complaints with Broker April Pruitt in Firm Edward Jones

July 27, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker April Pruitt (Pruitt), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Pruitt 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 $10,000.00 on April 28, 2025.

Power of attorney for client alleges the financial advisor misrepresented the tax implications from liquidating an annuity. POA alleges the client would not have liquidated the annuity or attempted to liquidate to harvest losses but for this advice and is requesting compensation.