Reg BI

There are Recent Customer Complaints with Broker Peter Po in Firm Emerson Equity LLC

July 23, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Peter Po (Po), currently associated with Emerson Equity LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Po 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 $150,000.00 on May 22, 2025.

Claim states breach of contract, breach of fiduciary duty, fraud, negligence and gross negligence, violation of Best Interest obligation for investment in corporate bonds originally invested in 2017 and renewed in 2020. The issuer declared bankruptcy and is in the process of executing a wind-down trust with intended distributions to bond holders.

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

July 23, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on May 18, 2025.

Client alleges misrepresentation from April 2024-May 2025.

Broker T Thompson in Truist Investment Services, INC. Firm Has Customer Complaint

July 23, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker T Thompson (Thompson), previously associated with Truist Investment Services, INC., has at least 5 disclosable events. These events include 5 customer complaints, alleging that Thompson 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 alleges her money was mismanaged.

There are Recent Customer Complaints with Broker Mark Wilburn in Firm LPL Financial LLC

July 23, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint with a damage request of $2,000,000.00 on May 19, 2025.

Customer alleges that investments made in ETFs and variable annuities during the time period January 2020 to March 2022 were inappropriate for the customer’s investment objectives and risk tolerance, and that representative made alleged misrepresentations concerning the investments.

Broker Michael Ginestro in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

July 23, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Ginestro (Ginestro), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Ginestro 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 $2,400,000.00 on May 19, 2025.

Claimant alleges unsuitable investment strategy, misrepresentation, omission of material facts and failure to act in their best interest from 2019 to 2023.

There are Recent Customer Complaints with Broker Paul Rizzo in Firm Cetera Advisors LLC

July 23, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Paul Rizzo (Rizzo), currently associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Rizzo 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 May 22, 2025.

Claimants generally allege suitability, misrepresentation, and failure to supervise.

There are Recent Customer Complaints with Broker James Rushton in Firm Tiaa-cref Individual & Institutional Services, LLC

July 23, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Rushton (Rushton), currently associated with Tiaa-cref Individual & Institutional Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Rushton 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 $94,683.00 on May 19, 2025.

Regarding a recommendation to invest in a managed account, the client alleges it was not in his best interest.

Broker David Spiegel in Axa Advisors, LLC Firm Has Customer Complaint

July 23, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Spiegel (Spiegel), previously associated with Axa Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Spiegel 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 21, 2025.

Client alleges the RR made misrepresentations in connection with a variable life insurance policy purchased in 1996.

There are Recent Customer Complaints with Broker Heath Goldstein in Firm Vestech Securities, INC.

July 23, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Heath Goldstein (Goldstein), currently associated with Vestech Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Goldstein 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 $9,600.00 on May 20, 2025.

Unsuitable Investment Recommendation and misleading

There are Recent Customer Complaints with Broker Jonna Keller in Firm Osaic Wealth, INC.

July 23, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jonna Keller (Keller), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Keller 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.

Trustee alleges that a REIT purchase was misrepresented.