Reg BI

There are Recent Customer Complaints with Broker Andrew Knutson in Firm UBS Financial Services INC.

November 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andrew Knutson (Knutson), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Knutson 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 $8,167.00 on October 03, 2025.

Time Frame: July 8th, 2024 to July 30th ,2025\, \, What were the allegations against the individual? The client alleges her Financial Advisor failed to invest her money as instructed. The client further alleges that her account fee was overcharged.

Broker Scott Hagenbach in Ameriprise Financial Services, LLC Firm Has Customer Complaint

November 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Scott Hagenbach (Hagenbach), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hagenbach 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 September 30, 2025.

The client alleged that previous distributions the advisor recommended in 2023 and 2024 from her variable annuity negatively impacted her future earnings and income potential.

Broker James Britt in Morgan Stanley Firm Has Customer Complaint

November 20, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on September 29, 2025.

Claimants allege, inter alia, that the options trading strategy implemented in their trust accounts between Jan 2018 and May 2025 was unsuitable and misrepresented.

There are Recent Customer Complaints with Broker Anita Lester in Firm Berthel, Fisher & Company Financial Services, INC.

November 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Anita Lester (Lester), previously associated with Berthel, Fisher & Company Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Lester 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 $200,000.00 on October 01, 2025.

Claimants allege that two of the non-traded investment programs they invested in 2014 were not suitable and were misrepresented to them and failed to disclose the true risk characteristics of the investments. The claimants also state that after the representative left Berthel Fisher in 2018 that they remained in contact with the representative and were continually advised that their investments were fine and not to worry.

Broker Dennis Michels in Raymond James & Associates, INC. Firm Has Customer Complaint

November 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dennis Michels (Michels), currently associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Michels 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 $20,909.00 on September 30, 2025.

Client alleges that he gave FA instructions to buy a specific stock and that FA confirmed stock purchase on a specific date but later said the trade did not go through and stock was not purchased until several days later. Client also alleges that FA compensated him for the alleged delay.

There are Recent Customer Complaints with Broker Tony Barouti in Firm Emerson Equity LLC

November 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Tony Barouti (Barouti), currently associated with Emerson Equity LLC, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Barouti 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 $122,000.00 on September 30, 2025.

Violation of Federal Securities Laws; Violations of California Securities Laws; California Unfair, Unlawful and Fraudulent Business Practices; Violation of California’s Elder Abuse Law; Breach of Contract; Common Law Fraud; Breach of Fiduciary Duty; Negligence and Gross Negligence. Trades placed in 2018 & 2019

Broker Jason Russo in Laidlaw & Company (UK) Ltd. Firm Has Customer Complaint

November 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jason Russo (Russo), currently associated with Laidlaw & Company (UK) Ltd., has at least one disclosable event. These events include one customer complaint, alleging that Russo 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 $350,000.00 on September 30, 2025.

After receiving and signing the necessary offering documents, the customer alleges now that the investments were illiquid and unsuitable. The customer has filed this claim solely against the firm.

Broker Todd Cirella in Laidlaw & Company (UK) Ltd. Firm Has Customer Complaint

November 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Todd Cirella (Cirella), currently associated with Laidlaw & Company (UK) Ltd., has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Cirella 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 $350,000.00 on September 30, 2025.

After receiving and signing the necessary offering documents, the customer alleges now that the investments were illiquid and unsuitable. The customer has filed this claim solely against the firm.

There are Recent Customer Complaints with Broker Richard Wesselt in Firm Fortune Financial Services, INC.

November 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Wesselt (Wesselt), previously associated with Fortune Financial Services, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Wesselt 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 October 03, 2025.

Claimant alleges Wesselt recommended unsuitable insurance policies.

Broker Stephen Hlibok in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

November 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stephen Hlibok (Hlibok), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Hlibok 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 $337,668.75 on September 29, 2025.

Client alleges unauthorized trading 4/21/2025-4/25/2025