Reg BI

Broker Gene West in RBC Capital Markets, LLC Firm Has Customer Complaint

June 14, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gene West (West), currently associated with RBC Capital Markets, LLC, has at least one disclosable event. These events include one customer complaint, alleging that West 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 December 15, 2023.

Claimant alleges that its financial advisor recommended the use of margin to achieve liquidity but “downplayed the risk” of using the margin account in the time frame 2022-2023.

Broker Edward Carchia in Morgan Stanley Firm Has Customer Complaint

June 14, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on December 14, 2023.

Claimant alleged, inter alia, that the investments strategy executed in the client’s account was unsuitable 2010-2023

There are Recent Customer Complaints with Broker Charles Evan in Firm MML Investors Services, LLC

June 14, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on December 18, 2023.

The complainant alleges that the rep misrepresented a universal life policy that he sold to her in/around 2008, which was funded with money from variable annuities and a 401k purchased in/around 2008. She also alleges that the producer charged her consulting fees, misled her and that she trusted his advise to purchase the UL, VAs and the 401k.

There are Recent Customer Complaints with Broker Dean Toscano in Firm Gpwa, LLC

June 13, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dean Toscano (Toscano), currently associated with Gpwa, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Toscano 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 December 19, 2023.

The Claimant alleges that the financial professional sold them an alternative investment that was unsuitable The product sale took place on 8/4/2015 and the account was transferred on 11/18/2016.

Broker Adam Bishop in Equitable Advisors, LLC Firm Has Customer Complaint

June 13, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on December 19, 2023.

Claimant alleges REIT purchased was unsuitable.

There are Recent Customer Complaints with Broker Stephen Webb in Firm Equitable Advisors, LLC

June 13, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on December 19, 2023.

Claimant alleges REIT purchased was unsuitable.

Broker Brandon Leblanc in LPL Financial LLC Firm Has Customer Complaint

June 13, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brandon Leblanc (Leblanc), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Leblanc 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 December 18, 2023.

The customers alleged that their advisor placed them in unsuitable investments and failed to inform or obtain permission to change the client’s Model Wealth Portfolio (‘MWP’) investment objectives. (11/30/21-11/03/22)

There are Recent Customer Complaints with Broker Surya Metzler in Firm Centaurus Financial, INC.

June 13, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Surya Metzler (Metzler), currently associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Metzler 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 $95,000.00 on December 19, 2023.

The customer alleges that during the period of 2019 and 2021, the Registered Representative recommended unsuitable, high-risk, speculative, illiquid investments and breached his fiduciary duty.

Broker Randy Redd in LPL Financial LLC Firm Has Customer Complaint

June 13, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Randy Redd (Redd), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Redd 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 $2,872,200.00 on December 19, 2023.

Customer alleged embezzlement of funds through private real estate transaction in 2023.

Broker Alan Deuel in LPL Financial LLC Firm Has Customer Complaint

June 13, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alan Deuel (Deuel), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Deuel 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 $300,000.00 on December 19, 2023.

The Statement of Claim was filed on behalf of nine claimants against Grove Point Investments, LLC involving the same investment – NorthStar Healthcare Income REIT. Claimants allege unsuitability, overconcentration, breach of fiduciary duty and negligence. Activity occurred March 24, 2014 to February 12, 2016.