Reg BI

There are Recent Customer Complaints with Broker John Crowley in Firm Citigroup Global Markets INC.

November 13, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Crowley (Crowley), currently associated with Citigroup Global Markets INC., has at least one disclosable event. These events include one customer complaint, alleging that Crowley 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 $100,000,000.00 on July 05, 2022.

Allegations are the CBNA knew of client’s fraudulent conduct but did not timely exit the client.

Broker Robert Lefkowitz in Sw Financial Firm Has Customer Complaint

November 13, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Lefkowitz (Lefkowitz), previously associated with Sw Financial, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Lefkowitz 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 July 11, 2022.

Unsuitable transactions, overconcentration, breach of contract, misrepresentation

There are Recent Customer Complaints with Broker Walter Reyna in Firm J.w. Cole Financial, INC.

November 13, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Walter Reyna (Reyna), currently associated with J.w. Cole Financial, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Reyna 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 01, 2022.

Claimant alleges the RR recommended an unsuitable Oil & Gas Investment

Broker Nicholas Tolk in Morgan Stanley Firm Has Customer Complaint

November 12, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on July 14, 2022.

CLIENT ALLEGED THAT THERE WERE UNAUTHORIZED TRADES DONE IN THEIR ACCOUNT 2022 DAMAGES UNSPECIFIED

Broker Christopher Lee in Voya Financial Advisors, INC. Firm Has Customer Complaint

November 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Lee (Lee), previously associated with Voya Financial Advisors, INC., has at least one disclosable event. These events include one customer complaint, alleging that Lee 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 $100,000.00 on July 18, 2022.

Claimants allege that in 2016, high-commission, high-risk, and speculative alternative investments were misrepresented and sold for the sole goal of generating commissions.

Broker Cynthia Keverian in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

November 12, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on July 14, 2022.

The customer alleges misrepresentation in July of 2022.

Broker Michael Kane in LPL Financial LLC Firm Has Customer Complaint

November 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Kane (Kane), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kane 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 $164,964.84 on July 15, 2022.

Unsuitable recommendations, misrepresentation and omission.

There are Recent Customer Complaints with Broker Edward Engler in Firm Fifth Third Securities, INC.

November 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Edward Engler (Engler), currently associated with Fifth Third Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Engler 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 $16,609.38 on July 13, 2022.

Client alleged misrepresentation of product

There are Recent Customer Complaints with Broker Aileen Schruth in Firm UBS Financial Services INC.

November 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Aileen Schruth (Schruth), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Schruth 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 $301,883.80 on July 13, 2022.

Time Frame: May 21, 2021 to July 1, 2022\, \, What were the allegations against the individual? \, \, The POA alleges he did not provide instructions to execute a trade.

Broker Seth Waltman in M. S. Howells & CO. Firm Has Customer Complaint

November 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Seth Waltman (Waltman), currently associated with M. S. Howells & CO., has at least one disclosable event. These events include one customer complaint, alleging that Waltman 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 $318,167.80 on July 14, 2022.

[REDACTED] ALLEGES THAT HE DID NOT AUTHORIZE SETH WALTMAN, REGISTERED REPRESENTATIVE, TO REALLOCATE HIS VARIABLE ANNUITY SUB-ACCOUNTS IN MARCH 2020