Reg BI

There are Recent Customer Complaints with Broker Elizabeth Friant in Firm Fnex Capital, LLC

July 3, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on October 26, 2023.

Claimants allege negligence, failure to conduct reasonable basis suitability, and breach of fiduciary duty.

Broker Steven Graham in Western International Securities, INC. Firm Has Customer Complaint

July 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven Graham (Graham), currently associated with Western International Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Graham 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 October 24, 2023.

Misrepresentation; Negligence

Broker Derek Mclean in Cetera Advisors LLC Firm Has Customer Complaint

July 3, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on October 24, 2023.

Claimant generally alleges suitability, fiduciary duty, breach of contract, failure to supervise and financial elder abuse.

There are Recent Customer Complaints with Broker Susan Whitesell in Firm Janney Montgomery Scott LLC

July 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Susan Whitesell (Whitesell), currently associated with Janney Montgomery Scott LLC, has at least one disclosable event. These events include one customer complaint, alleging that Whitesell 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 $11,873.00 on October 26, 2023.

Operational matter that evolved into arbitration regarding and IRA conversion.

There are Recent Customer Complaints with Broker James Hilton Sr. in Firm UBS Financial Services INC.

July 3, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on October 23, 2023.

Time frame: Unspecified \, Allegations: Claimant alleges her financial advisor’s recommendation that she remain invested in equities instead of selling to cash was unsuitable. Claimant further alleges that her financial advisor purchased an annuity without her knowledge and subsequently borrowed against the annuity.

Broker John Breon in UBS Financial Services INC. Firm Has Customer Complaint

July 3, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on October 23, 2023.

Time Frame: August 15th 2023\, \, What were the allegations against the individual? Client verbally alleged he gave instructions to liquidate his managed account and those instructions were not followed.

Broker Michael Stolberg in Private Client Services, LLC Firm Has Customer Complaint

July 2, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Stolberg (Stolberg), currently associated with Private Client Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Stolberg 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 $500,000.00 on October 31, 2023.

Statement of Claim alleges the financial professional recommended an unsuitable investment. Claimant suggests the investment was misrepresented.

Broker Seth Stewart in Center Street Securities, INC. Firm Has Customer Complaint

July 2, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Seth Stewart (Stewart), previously associated with Center Street Securities, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Stewart 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 $100,000.00 on October 30, 2023.

Clients allege registered representative recommended an unsuitable investment.

There are Recent Customer Complaints with Broker Jeremy Ruccio in Firm RBC Capital Markets, LLC

July 2, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on October 27, 2023.

The client alleges that the registered representative misled her regarding the interest being paid monthly toward her Loan Management Account.

Broker Richard Tulloch in Avatar Securities, LLC Firm Has Customer Complaint

July 2, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Tulloch (Tulloch), previously associated with Avatar Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Tulloch 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 $300,000.00 on October 31, 2023.

Representative Tulloch overly concentrated claimant’s money into one illiquid REIT and incorrectly promised the REIT was safe, secure, and would continually return distributions from profit and not return of principal. Northstar Healthcare Income REIT was recommended to the claimants on or around November 2015.