Reg BI

There are Recent Customer Complaints with Broker Chad Kennedy in Firm Osaic Wealth, INC.

July 4, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Chad Kennedy (Kennedy), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Kennedy 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 October 19, 2023.

Client alleges financial professional failed to disclose material information related to annuity purchase.

There are Recent Customer Complaints with Broker Scott Valentine in Firm LPL Enterprise, LLC

July 4, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on October 11, 2023.

Customer alleges forgery and unsuitable recommendation of market-linked CDs.

Broker Urbin Mckeever in Frost Brokerage Services, INC. Firm Has Customer Complaint

July 4, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Urbin Mckeever (Mckeever), previously associated with Frost Brokerage Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Mckeever 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 $9,950,000.00 on October 19, 2023.

On October 19, 2023, Urbin McKeever (‘McKeever’), was named as third-party defendant in a civil action in the 96th Judicial District Court of Tarrant County, Texas, Cause No. 096-340969-23. This civil action stems from a dispute as to the ownership of an account at Frost Brokerage Services, Inc. (‘FBS’) (the ‘Account’). FBS placed a hold on the Account after conflicting claims of ownership were raised. The lawsuit was originally filed on March 16, 2023, by one of the purported owners of the Account (‘Purported Owner 1’), seeking declaratory relief as to Account’s proper ownership. The complaint was subsequently amended, alleging claims of conversion and theft by the other purported owners of the Account (‘Purported Owner 2’), as well as claims against FBS for wrongfully freezing the account and conspiring with the other defendants to accomplish their alleged conversion/theft. On October 19, 2023, Purported Owner 2 filed its own complaint, making similar allegations of theft against the Purported Owner 1 (the ‘October Complaint’). The October Complaint also alleges that FBS and other Frost-affiliated parties, including McKeever, aided and abetted the alleged theft and fraudulent acts of Purported Owner 1 and breached his fiduciary duties to Purported Owner 2. The case is currently stayed pending a determination of whether the case will be compelled to FINRA arbitration. The Frost-affiliated parties plan to file responses to the complaint allegations if and when the stay is lifted and such responsive pleadings are required of them by the court.

Broker Haydee Delgado in UBS Financial Services INC. Firm Has Customer Complaint

July 4, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Haydee Delgado (Delgado), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Delgado 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 $1,500,000.00 on October 12, 2023.

Time frame: 2006-2023\, \, Allegations: Claimants allege that the recommendation to invest in and hold Puerto Rico closed-end funds and Puerto Rico municipal bonds was unsuitable and that their UBS account was over-concentrated in these investments. They also allege that the risks of investing in and concentrating in PR investments were misrepresented.

There are Recent Customer Complaints with Broker Michael Seymour in Firm Centaurus Financial, INC.

July 4, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Seymour (Seymour), currently associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Seymour 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 $150,000.00 on October 11, 2023.

The customer alleges that in June of 2020, the Registered Representative recommended an unsuitable, high-risk, speculative and illiquid investment and breached his fiduciary duty.

Broker Timothy Newell in Proequities, INC. Firm Has Customer Complaint

July 4, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Timothy Newell (Newell), previously associated with Proequities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Newell 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 $3,713,544.00 on October 16, 2023.

On or around October 16, 2023, Claimant requested to initiate arbitration proceedings against Harvest Investment Services, LLC, and Tim Newell (‘Respondents’), alleging violations of Illinois securities laws among a number of causes of action arising out of Respondents’ investment advisory services to Claimant between November 2015 and June 2023. Respondents denied all of Claimant’s allegations; however, in the interest of avoiding additional costly and time-consuming legal proceedings, Respondents during the mediation process agreed to settle Claimant’s claims.

Broker Fidel Trejo in UBS Financial Services INC. Firm Has Customer Complaint

July 4, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Fidel Trejo (Trejo), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Trejo 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 $1,500,000.00 on October 12, 2023.

Time frame: 2006-2023\, \, Allegations: Claimants allege that the recommendation to invest in and hold Puerto Rico closed-end funds and Puerto Rico municipal bonds was unsuitable and that their UBS account was over-concentrated in these investments. They also allege that the risks of investing in and concentrating in PR investments were misrepresented.

Broker Susan Coriale in Gwn Securities INC. Firm Has Customer Complaint

July 4, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Susan Coriale (Coriale), currently associated with Gwn Securities INC., has at least one disclosable event. These events include one customer complaint, alleging that Coriale 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 $264,205.00 on October 17, 2023.

Client is alleging that in 2021 representative, Susan Coriale, failed to provide adequate tax advice for a recommendation that was given to the client to move her assets from a tax deferred annuity to a non- tax deferred joint mutual fund account causing the client to incur a substantial tax liability as well as having a negative impact on the client Social Security income and Medicare benefits. \, Client also alleges that a secondary recommendation was made to the client in 2022 to help mitigate the initial tax consequence, resulting in additional tax liabilities for the client.

Broker Francisco Vigil in Raymond James & Associates, INC. Firm Has Customer Complaint

July 4, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Francisco Vigil (Vigil), previously associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Vigil 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 18, 2023.

Claimants alleged that FA failed to have any communications with Claimants for 15 years and that although one of the two Claimants authorized the FA to execute a specific trade in their joint account, the FA was required but failed to inform the other Claimant that the executed trade was in line with a capital preservation objective even though Claimants had a growth objective.

There are Recent Customer Complaints with Broker Judson Teekell in Firm M Holdings Securities, INC.

July 4, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Judson Teekell (Teekell), currently associated with M Holdings Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Teekell 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 $1,000,000.00 on October 18, 2023.

Plaintiff alleges that she was advised to allow her policy to lapse in order to retrieve the cash value of the policy which could be used to fund a new policy with her intended beneficiaries, ultimately resulting in damages.\, \, The action was originally filed in State Court and has subsequently been moved to the Federal District Court for the Western District of Oklahoma.