Reg BI

Broker Jeffrey Labelle in LPL Financial LLC Firm Has Customer Complaint

July 13, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Labelle (Labelle), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Labelle 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 $200,000.00 on August 10, 2023.

Customer alleges that certain alternative investments purchased for her account were unsuitable, and that representative made alleged misrepresentations concerning the investments. Time period unspecified.

There are Recent Customer Complaints with Broker Brett Ellen in Firm Metric Financial INC.

July 13, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brett Ellen (Ellen), previously associated with Metric Financial INC., has at least one disclosable event. These events include one customer complaint, alleging that Ellen 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 $204,812.00 on August 15, 2023.

Customer alleges breach of fiduciary duty, breach of contract, material misrepresentations and omissions, and negligence related to alternative investments.

There are Recent Customer Complaints with Broker Mary Swanson in Firm Stifel, Nicolaus & Company, Incorporated

July 13, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mary Swanson (Swanson), currently associated with Stifel, Nicolaus & Company, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Swanson 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 $76,000.00 on August 15, 2023.

Claimants allege breach of contract, negligence, and breach of fiduciary duty.

Broker George Kuruvilla in Lifemark Securities Corp. Firm Has Customer Complaint

July 13, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on August 14, 2023.

The clients are alleging insufficient due diligence, unsuitability, insufficient supervision, fraud, violation of the New York Consumer Protection Act, breach of contract, breach of fiduciary duty and negligence.

There are Recent Customer Complaints with Broker Stephen Smith in Firm Wells Fargo Clearing Services, LLC

July 12, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a award / judgment customer complaint on August 21, 2023.

In or around May 2020, Claimant states that the Financial Advisor violated duties through inaction to prevent unauthorized trades in the account of their elderly client with declining health.

There are Recent Customer Complaints with Broker Garrett Tognozzi in Firm J.P. Morgan Securities LLC

July 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Garrett Tognozzi (Tognozzi), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Tognozzi 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 $75,000.00 on August 18, 2023.

Customer alleges misrepresentation and unsuitable recommendation regarding managed account investment. Activity dates 11.1.19 – 11.1.19.

Broker Donald Dever in UBS Financial Services INC. Firm Has Customer Complaint

July 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Donald Dever (Dever), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Dever 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 $200,000.00 on August 22, 2023.

Time Frame: August 21, 2022\, \, What were the allegations against the individual? The Client alleges his Financial Advisor did not follow his instructions as he did not want his shares all sold at one time but rather feathered thru to maximize the value.

There are Recent Customer Complaints with Broker Kelly Johnston in Firm Fidelity Brokerage Services LLC

July 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kelly Johnston (Johnston), currently associated with Fidelity Brokerage Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Johnston 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 $25,000,000.00 on August 21, 2023.

This institutional customer, an SEC-registered public company, contends that the representative did not disclose that fixed income mutual funds could lose principal and that its investments in several fixed income mutual funds were unsuitable because they were subject to potential principal loss.

Broker Phillip Sutton in Raymond James Financial Services, INC. Firm Has Customer Complaint

July 12, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on August 22, 2023.

Client alleged the advisor placed unauthorized trade in her investment account. Allegation Activity Dates: 11/07/2022 – 05/18/2023.

There are Recent Customer Complaints with Broker Tracy Bird in Firm Morgan Stanley

July 12, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on August 18, 2023.

CLIENT’S WIFE/POA ALLEGES, INTER ALIA, THAT THE INVESTMENT STRATEGY IMPLEMENTED IN THE CLIENT’S ACCOUNT WAS UNSUITABLE 2021-2023