Reg BI

There are Recent Customer Complaints with Broker J Byron Davies in Firm Merrill Lynch, Pierce, Fenner & Smith Incorporated

July 24, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker J Byron Davies (Davies), previously associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Davies 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 $370,795.74 on May 16, 2025.

Client alleges unsuitability and misrepresentation.

Broker Robert Cutrupi in Raymond James Financial Services, INC. Firm Has Customer Complaint

July 24, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Cutrupi (Cutrupi), currently associated with Raymond James Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Cutrupi 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 $36,608.15 on May 14, 2025.

Claimant alleges FA did not follow her instructions to invest in investments that were consistent with a conservative risk tolerance.

There are Recent Customer Complaints with Broker Matthew Brandt in Firm Ameriprise Financial Services, LLC

July 23, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Brandt (Brandt), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Brandt 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 $41,281.37 on May 23, 2025.

Claimants allege advisor did not follow their instructions resulting in portfolio losses.

Broker Jonathan Lococo in Charles Schwab & Co., INC. Firm Has Customer Complaint

July 23, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jonathan Lococo (Lococo), currently associated with Charles Schwab & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Lococo 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 May 19, 2025.

In March 2025, the client alleges the representative misrepresented the dollar amount of a retention offer.

There are Recent Customer Complaints with Broker Scott Durrett in Firm Ameriprise Financial Services, LLC

July 23, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Scott Durrett (Durrett), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Durrett 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 $102,964.35 on May 21, 2025.

The client alleged the advisor purchased three brokered Certificates of Deposit without her verbal approval in March 2025.

There are Recent Customer Complaints with Broker Samantha Anderson in Firm Edward Jones

July 23, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Samantha Anderson (Anderson), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Anderson 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 May 20, 2025.

Client alleges she instructed financial advisor to invest her funds into a money market fund and the financial advisor failed to do so, resulting in loss of interest which she expects to be reimbursed.

There are Recent Customer Complaints with Broker Jared Ranger in Firm LPL Financial LLC

July 23, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on May 21, 2025.

Customers allege they suffered losses as a result of unsuitable investment recommendations relating to a fixed index annuity. Timeframe: June 2019 – January 2025

Broker Michael Shanahan in LPL Financial LLC Firm Has Customer Complaint

July 23, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on May 21, 2025.

Customer alleges failure to follow instructions and that certain investments were not in her best interest.

Broker Matthew Metzger in Cetera Wealth Services, LLC Firm Has Customer Complaint

July 23, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on May 22, 2025.

Client alleged that certain features of the annuity product purchased in May of 2014 were misrepresented by the Representative.

There are Recent Customer Complaints with Broker David Mcquade in Firm LPL Financial LLC

July 23, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on May 21, 2025.

Customer alleges failure to follow instructions and that certain investments were not in her best interest.