Reg BI

There are Recent Customer Complaints with Broker Justin Deutschmann in Firm Moloney Securities Co., INC.

November 5, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Justin Deutschmann (Deutschmann), currently associated with Moloney Securities Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Deutschmann 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 $15,000.00 on October 04, 2022.

Suitability/negligence

There are Recent Customer Complaints with Broker Joseph Pietrafitta in Firm Td Private Client Wealth LLC

November 5, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Pietrafitta (Pietrafitta), currently associated with Td Private Client Wealth LLC, has at least one disclosable event. These events include one customer complaint, alleging that Pietrafitta 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 $600,000.00 on September 14, 2022.

Customer complained about performance of the investment portfolio and alleged various\, claims against TDPCW. Representative was not a named party. TDPCW denied all\, allegations and settled the matter without admitting any liability or wrong doing.

Broker Justin Singletary in American Trust Investment Services, INC. Firm Has Customer Complaint

November 5, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on September 13, 2022.

The arbitration alleges that GWG L Bonds were misrepresented to the client and not suitable for the clients investment objectives.

Broker Ryan Lansford in Allstate Financial Services, LLC Firm Has Customer Complaint

November 5, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ryan Lansford (Lansford), currently associated with Allstate Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lansford 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 $60,000.00 on October 06, 2022.

Customer claims the RR made a poor recommendation to liquidate his variable annuity resulting in tax consequences that he did not fully anticipate due to receiving inaccurate cost basis information. The liquidation of the variable annuity was processed as of 12/4/2021.

Broker Daniel Clouse in Wells Fargo Clearing Services, LLC Firm Has Customer Complaint

November 5, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on October 07, 2022.

Customer complained that an order to sell securities was not executed resulting in losses. (10/4/2022-10/7/2022)

Broker Jeffrey Shanine in Osaic Wealth, INC. Firm Has Customer Complaint

November 5, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Shanine (Shanine), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Shanine 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 September 12, 2022.

Client alleges he did not sign a form granting financial professional discretionary authority, and thus any trades executed were unauthorized.

Broker Graham Jepsen in LPL Financial LLC Firm Has Customer Complaint

November 5, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Graham Jepsen (Jepsen), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Jepsen 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 $35,000.00 on September 13, 2022.

Clients allege options were not properly established causing an increase in the expected captial gains.

There are Recent Customer Complaints with Broker Noe Lumbreras in Firm Allstate Financial Services, LLC

November 5, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Noe Lumbreras (Lumbreras), currently associated with Allstate Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lumbreras 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 $13,500.00 on October 10, 2022.

Customer’s alleged the RR incorrectly advised that there would be no sales charges at the time they redeemed their A shares that were previously purchased at NAV.

Broker Brittany Slater Gautreau in American Trust Investment Services, INC. Firm Has Customer Complaint

November 5, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brittany Slater Gautreau (Slater Gautreau), previously associated with American Trust Investment Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Slater Gautreau 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 $50,000.00 on October 05, 2022.

Breach of Contract; Violation of Washington State securities statutes; Breach of Fiduciary Duty; Suitability

There are Recent Customer Complaints with Broker Wayne Rector in Firm Nylife Securities LLC

November 5, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on October 07, 2022.

Customer alleged that she was misled when she purchase a variable annuity in May 2022. She alleges that she though she was just transferring her share from her deceased fathers account. Customer seeks release from the variable annuity without penalty.