Reg BI

Broker Paul Battson in Newbridge Securities Corporation Firm Has Customer Complaint

June 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Paul Battson (Battson), previously associated with Newbridge Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Battson 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 $45,000.00 on June 21, 2023.

BREACH OF CONTRACT, BREACH OF FIDUCIARY DUTY, NEGLIGENCE, FRAUD & FAILURE TO SUPERVISE.

Broker Jerome Kusey in Osaic Wealth, INC. Firm Has Customer Complaint

June 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jerome Kusey (Kusey), previously associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Kusey 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 $6,816.00 on June 20, 2023.

Former RR, complaint received from new BD; Customer alleges she is due damages related to an exchange from Equitable VA toNSS Certificate. The exchange was unintentional and Equitable refused to reinstate without penalty. Customer paid $6,816 of penaltyand lost interest. Customer is requesting return of the penalty and interest as a result of the RRs oversight.

There are Recent Customer Complaints with Broker Christopher Knutson in Firm Aegis Capital Corp.

June 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Knutson (Knutson), currently associated with Aegis Capital Corp., has at least one disclosable event. These events include one customer complaint, alleging that Knutson 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 June 20, 2023.

Client alleges misrepresentation and suitability in connection with an investment purchased in October 2019.

Broker Scott Rosenberg in UBS Financial Services INC. Firm Has Customer Complaint

June 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Scott Rosenberg (Rosenberg), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Rosenberg 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 $525,000.00 on June 21, 2023.

Time frame: Starting in or about 2016 to April 2023\, \, Allegations: Claimant’s counsel alleges unsuitability and misrepresentation with respect to recommendations to invest in and hold an options overlay strategy.

There are Recent Customer Complaints with Broker Edward Rosenblatt in Firm Cetera Advisor Networks LLC

June 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Edward Rosenblatt (Rosenblatt), currently associated with Cetera Advisor Networks LLC, has at least one disclosable event. These events include one customer complaint, alleging that Rosenblatt 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 $200,000.00 on June 21, 2023.

Claimant alleges breach of fiduciary duty, breach of written contract, breach of oral contract, failure to supervise and control.

Broker Damon Stewart in Morgan Stanley Firm Has Customer Complaint

June 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Damon Stewart (Stewart), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, 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 $1,667,000.00 on June 20, 2023.

Client alleges, inter alia, breach of fiduciary duty with respect to handing of account authorization changes and distributions requested by the client’s wife July 2018 – Aug 2018.

Broker William Obrien in Cetera Advisors LLC Firm Has Customer Complaint

June 17, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on June 20, 2023.

Customer alleges the Variable Universal Life insurance policy she purchased in May 1994 was originally understood to provide a guaranteed amount, and also that the premium payment would always remain the same.

Broker John Leonardi in Cetera Advisor Networks LLC Firm Has Customer Complaint

June 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Leonardi (Leonardi), previously associated with Cetera Advisor Networks LLC, has at least one disclosable event. These events include one customer complaint, alleging that Leonardi 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 $55,474.00 on June 21, 2023.

Claimant generally alleges breach of contract, breach of fiduciary duty and negligent supervision.

Broker Michael Ecker in Center Street Securities, INC. Firm Has Customer Complaint

June 17, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on June 20, 2023.

Client alleges that that he was recommended unsuitable alternative investments.

There are Recent Customer Complaints with Broker William Parse in Firm Stifel, Nicolaus & Company, Incorporated

June 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Parse (Parse), previously associated with Stifel, Nicolaus & Company, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Parse 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 June 20, 2023.

Claimants allege violation of the Michigan Uniform Securities Act, negligence, failure to recommend suitable investments, misrepresentation and omission of material facts, breach of fiduciary duty and breach of contract.