Reg BI

There are Recent Customer Complaints with Broker Nathan Wells in Firm Cetera Wealth Services, LLC

October 18, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on January 26, 2024.

Claimants alleged that the Representative recommended multiple alternative investment products that resulted in substantial losses. Claimants further alleged that Representative misrepresented the risks and potential for future income and growth.

Broker William Laury in MML Investors Services, LLC Firm Has Customer Complaint

October 18, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Laury (Laury), currently associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Laury 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 $55,029.00 on April 21, 2023.

The FINRA Arbitration alleges the representative provided incorrect tax advice which resulted in an unexpected tax liability for the customer. The representative denies providing any tax advice to the customer.

There are Recent Customer Complaints with Broker Fabio De Andrade in Firm Merrill Lynch, Pierce, Fenner & Smith Incorporated

October 18, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Fabio De Andrade (De Andrade), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that De Andrade recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on October 04, 2023.

Customer alleges unauthorized trading in account in June 2022.

There are Recent Customer Complaints with Broker Scott Coonrod in Firm Fsc Securities Corporation

October 18, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Scott Coonrod (Coonrod), previously associated with Fsc Securities Corporation, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Coonrod 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 $1,228,822.00 on April 21, 2023.

Claimants, who are the daughters of the deceased client, allege that discretionary trading in the account was overly aggressive and not in keeping with their father’s purported needs and objectives.

Broker Grace Henderson in Pnc Investments Firm Has Customer Complaint

October 18, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Grace Henderson (Henderson), previously associated with Pnc Investments, has at least one disclosable event. These events include one customer complaint, alleging that Henderson 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 $28,547.00 on April 19, 2023.

Client alleges representative did not make her aware of potential taxes on sale of assets to open an advisory account

Broker Ronald Stortz in Cetera Wealth Services, LLC Firm Has Customer Complaint

October 18, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on January 26, 2024.

Claimant alleged that the Representative recommended a Real Estate Investment Trust that was unsuitable, and resulted in a substantial loss. Claimant further alleged that the Representative misrepresented the risks and potential for future income and growth.

There are Recent Customer Complaints with Broker Jeffrey Peters in Firm Ausdal Financial Partners, INC.

October 18, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Peters (Peters), currently associated with Ausdal Financial Partners, INC., has at least one disclosable event. These events include one customer complaint, alleging that Peters 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 $65,000.00 on April 24, 2023.

Unsuitable Investments, Violation of securities laws, Breach of contract, Breach of fiduciary duty

Broker Keith Morris in Steward Partners Investment Solutions, LLC Firm Has Customer Complaint

October 18, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Keith Morris (Morris), currently associated with Steward Partners Investment Solutions, 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 with a damage request of $27,069.22 on April 21, 2023.

Client alleged a benefit rider was misapplied to the annuity.

Broker Alex Lee in Cetera Wealth Services, LLC Firm Has Customer Complaint

October 18, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on January 25, 2024.

Claimants alleged that the Representative recommended a Real Estate Investment Trust that was unsuitable, and resulted in a substantial loss. Claimants further alleged that Representative misrepresented the risks and potential for future income and growth of the product.

Broker Katherine Nishnic in Centaurus Financial, INC. Firm Has Customer Complaint

October 18, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Katherine Nishnic (Nishnic), currently associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Nishnic 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 $88,000.00 on April 27, 2023.

The customer alleges that in March of 2019, the Registered Representative recommended unsuitable, high-risk, speculative and illiquid investments and breached her fiduciary duty.