Reg BI

Broker Richard Brown in Cetera Advisor Networks LLC Firm Has Customer Complaint

June 26, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Brown (Brown), currently associated with Cetera Advisor Networks LLC, has at least one disclosable event. These events include one customer complaint, alleging that Brown 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 $368,803.00 on November 22, 2023.

Claimant alleges they were invested in unsuitable investments and made excessive annuity sales.

Broker Patrick Morris in Equitable Advisors, LLC Firm Has Customer Complaint

June 26, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on November 21, 2023.

Claimant alleges REIT purchased was unsuitable.

Broker Paul Berkman in Ameriprise Financial Services, LLC Firm Has Customer Complaint

June 26, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on November 21, 2023.

Claimant alleges REIT purchased was unsuitable.

Broker Delbert Carnes in Woodbury Financial Services, INC. Firm Has Customer Complaint

June 26, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Delbert Carnes (Carnes), previously associated with Woodbury Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Carnes 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 $57,533.00 on November 21, 2023.

Claimant alleges misrepresentation and unsuitable recommendations with regard to the sale of an alternative investment.

There are Recent Customer Complaints with Broker Steven White in Firm LPL Financial LLC

June 24, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven White (White), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that White 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 $26,551.99 on November 29, 2023.

The customer alleges that it was not disclosed to him that his alternative investment was illiquid at the time of purchase in September 2014.

Broker Jeffrey Parker in LPL Financial LLC Firm Has Customer Complaint

June 24, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on November 29, 2023.

In November 2023, the customer asked for accounts to be transferred in kind to foreign broker dealer. Assets were liquidated without customer’s authorization.

There are Recent Customer Complaints with Broker Vincent Virga in Firm Madison Avenue Securities, LLC

June 24, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on November 29, 2023.

Claimants allege unsuitable recommendations of alternative investments, primarily in NorthStar Healthcare REIT. The dates vary for the numerous claimants listed.

There are Recent Customer Complaints with Broker Carine Smith in Firm Tiaa-cref Individual & Institutional Services, LLC

June 24, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Carine Smith (Smith), currently associated with Tiaa-cref Individual & Institutional Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Smith recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on December 05, 2023.

In a written complaint, the client alleges the Firm executed unauthorized transactions by failing to follow investment instructions related to a rollover from her deceased spouse’s account. To resolve the issue, TIAA corrected the transactions and credited the client’s account $156,316.63, an amount equal to potential lost earnings, on December 29, 2023.

Broker Tasha Coleman in Osaic Wealth, INC. Firm Has Customer Complaint

June 24, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Tasha Coleman (Coleman), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Coleman 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 $7,914.00 on November 29, 2023.

Customers allege that the terms of the certificates of deposit were misrepresented.

Broker Gerald Lencke in Harbour Investments, INC. Firm Has Customer Complaint

June 24, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gerald Lencke (Lencke), previously associated with Harbour Investments, INC., has at least one disclosable event. These events include one customer complaint, alleging that Lencke 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 $500,000.00 on December 04, 2023.

Beginning in or around 2018, Client alleges breach of contract and warranties, breach of fiduciary duty, negligence and gross negligence, misrepresentation/omission, unjust enrichment, failure to supervise and vicarious & control person liability.