Reg BI

Broker Richard Gill in Ameriprise Financial Services, INC. Firm Has Customer Complaint

February 2, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Gill (Gill), previously associated with Ameriprise Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Gill 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 $11,709.00 on July 12, 2021.

The client alleged her advisor(s) recommended she purchase and remain invested in an unsuitable real estate investment trust (REIT) from 2007 to the present.

Broker Michael Simon in Cetera Investment Services LLC Firm Has Customer Complaint

February 2, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Simon (Simon), currently associated with Cetera Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Simon 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 $10,127.76 on July 09, 2021.

The client alleged the contract was unsuitable based upon needs, annual fees weren’t fully disclosed and the surrender schedule wasn’t shared.

Broker John Massa in Cetera Investment Services LLC Firm Has Customer Complaint

February 2, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on July 07, 2021.

Claimant alleges that their registered representative recommended unsuitable investments.

There are Recent Customer Complaints with Broker Lyndon Grey in Firm LPL Financial LLC

February 2, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lyndon Grey (Grey), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Grey 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 $100,001.00 on July 06, 2021.

Unsuitability

There are Recent Customer Complaints with Broker Brian Kazinec in Firm LPL Enterprise, LLC

February 2, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on July 12, 2021.

Customer Alleges defalcation as it relates to loans taken out from a joint policy.

Broker Joan Marron in Morgan Stanley & CO. LLC Firm Has Customer Complaint

February 2, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on July 12, 2021.

Plaintiff alleges, inter alia, breach of duty and bad faith in connection with its investment banking relationship with Morgan Stanley. 2018-2020.

There are Recent Customer Complaints with Broker Alan Rodriguez in Firm American Trust Investment Services, INC.

February 2, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alan Rodriguez (Rodriguez), currently associated with American Trust Investment Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Rodriguez 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 $25,000.00 on July 10, 2021.

Breach of fiduciary duty; Breach of Contract and Negligence; Failure to Supervise

Broker Richard Borgner in Worden Capital Management LLC Firm Has Customer Complaint

February 2, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Borgner (Borgner), previously associated with Worden Capital Management LLC, has at least one disclosable event. These events include one customer complaint, alleging that Borgner 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 $653,700.00 on July 07, 2021.

Failure to supervise and negligent supervision; August 2017 to December 2019.

Broker Jaime Westenbarger in Securities America, INC. Firm Has Customer Complaint

February 1, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jaime Westenbarger (Westenbarger), previously associated with Securities America, INC., has at least 5 disclosable events. These events include 3 customer complaints, 2 regulatory events, alleging that Westenbarger 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 $26,000.00 on July 20, 2021.

Claimant alleges their registered representative recommended unsuitable alternative investments.

There are Recent Customer Complaints with Broker William Capuzzi in Firm Apex Clearing Corporation

February 1, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Capuzzi (Capuzzi), currently associated with Apex Clearing Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Capuzzi 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 $29,000.00 on July 14, 2021.

Customer is alleging that Apex Clearing was negligent in the servicing of his account introduced by Ally Invest during the period of January through February of 2021, leading to a loss in account value. Specifically, the customer alleges that the account was the subject of erroneous margin calls and account position transfers.