Reg BI

There are Recent Customer Complaints with Broker Richard Mcfarland in Firm Independent Financial Group, LLC

June 30, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Mcfarland (Mcfarland), previously associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mcfarland 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 $1,521,706.00 on November 10, 2023.

Claimant(s) allege that representative recommended investments that were largely concentrated in illiquid, speculative, low-quality, and high commission non-traded real estate investment trusts and Business Development Companies.

There are Recent Customer Complaints with Broker Edward Barrett in Firm Oneamerica Securities, INC.

June 30, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Edward Barrett (Barrett), previously associated with Oneamerica Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Barrett 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 November 09, 2023.

The customer alleges the real estate investment trust product recommended to him was inappropriate based upon the nature of the product itself and the customer’s financial needs and objectives at the time the recommendation was made.

There are Recent Customer Complaints with Broker Mitchell Manoff in Firm Corinthian Partners, L.l.c.

June 30, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mitchell Manoff (Manoff), currently associated with Corinthian Partners, L.l.c., has at least one disclosable event. These events include one customer complaint, alleging that Manoff 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 $9,937,000.00 on November 09, 2023.

Failure to supervise

There are Recent Customer Complaints with Broker Joseph Shaposhnik in Firm Tcw Funds Distributors LLC

June 29, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Shaposhnik (Shaposhnik), previously associated with Tcw Funds Distributors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Shaposhnik 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 $3,550,000.00 on November 14, 2023.

On November 28, 2023 a group of ten (10) investors in the TCW Special Purpose Sponsor LLC (‘Sponsor’) filed a complaint in the Delaware Chancery Court seeking to recover $3,550,000 that they invested in the Sponsor. The complaint named, among others, TCW, TCW’s then CEO, TCW’s CFO and Joseph Shaposhnik (who was CEO of the Sponsor) as defendants. The complaint asserted claims for breach of contract, breach of the implied covenant of good faith and fair dealing, tortious interference with contract, fraudulent inducement and/or negligent misrepresentation. TCW concluded the case wholly lacked merit and it was settled pursuant to a confidential settlement agreement for what TCW believes was less than the cost of defense. Mr. Shaposhnik was not asked to, and did not, contribute to the settlement or the costs associated with defending the claim.

There are Recent Customer Complaints with Broker Stephen Haskell in Firm Rm Securities, LLC

June 29, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stephen Haskell (Haskell), currently associated with Rm Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Haskell 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 $250,000.00 on November 14, 2023.

From investment activity in 2019, claimant alleges the following: failure to conduct reasonable due diligence, negligence, failure to make material disclosures, failure to conduct suitability, misrepresentation and omissions, branch of contract, breach of fiduciary duty.

There are Recent Customer Complaints with Broker Daniel Violante in Firm UBS Financial Services INC.

June 29, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on November 13, 2023.

Time frame: March 2021 – November 2023 \, \, Allegations: Claimants allege that financial advisor recommended a Muni bond portfolio with long maturities, exposing them to interest rate risk. Claimants also allege that UBS should not have held the bonds in a fee-based account, and recommended an unsuitable line of credit to pay taxes claimants owed on the sale of their business.

There are Recent Customer Complaints with Broker Richard Villa in Firm Tcw Funds Distributors LLC

June 29, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Villa (Villa), currently associated with Tcw Funds Distributors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Villa 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 $3,550,000.00 on November 14, 2023.

On November 28, 2023 a group of ten (10) investors in the TCW Special Purpose Sponsor LLC (‘Sponsor’) filed a complaint in the Delaware\, Chancery Court seeking to recover $3,550,000 that they invested in the Sponsor. The complaint named, among others, TCW, TCW’s then CEO (David Lippman),\, TCW’s CFO (Richard Villa) and Joseph Shaposhnik (who was CEO of the Sponsor) as defendants. The complaint asserted claims for breach of contract, breach of\, the implied covenant of good faith and fair dealing, tortious interference with contract, fraudulent inducement and/or negligent misrepresentation. TCW concluded the case wholly lacked merit and it was settled pursuant to a confidential settlement agreement for what TCW believes was less than the cost of defense. Mr. Villa was not asked to, and did not, contribute to the settlement or the costs associated with defending the claim.

There are Recent Customer Complaints with Broker Darcy Dahl in Firm Morgan Stanley

June 29, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Darcy Dahl (Dahl), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Dahl 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 November 14, 2023.

Customer alleges, inter alia, unsuitability with respect to Municipal Bond investments – 2021 to 2022

There are Recent Customer Complaints with Broker Lora Loving in Firm Edward Jones

June 29, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lora Loving (Loving), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Loving 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 $247,762.00 on November 14, 2023.

Plaintiff, mother of the registered representative, asserts various claims and alleges that while serving in a fiduciary capacity, the registered representative deprived her mother of the use of funds for the registered representative’s benefit and that of her husband. Further, the registered representative borrowed funds from the Plaintiff without providing all necessary disclosures intended by FINRA and its members.

Broker David Williams in World Investments, INC. Firm Has Customer Complaint

June 29, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Williams (Williams), currently associated with World Investments, INC., has at least one disclosable event. These events include one customer complaint, alleging that Williams 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 $22,565.00 on November 13, 2023.

The client alleged the advisor distributed an additional $50,000.00 from her Simplified Employee Pension Plan in September 2021 instead of distributing the funds from her 401k plan as requested, due to her intention to utilize the funds as a loan.