Reg BI

Broker David Nastri in LPL Financial LLC Firm Has Customer Complaint

June 10, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on January 02, 2024.

Customers allege that an investment made in 2014 was inappropriate for the customers’ investment objectives and risk tolerance.

Broker Jeffrey Feldhusen in PFS Investments INC. Firm Has Customer Complaint

June 10, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on January 04, 2024.

Customers alleged that they were not aware of the contract fees and were concerned about the market losses and performance of the contracts.

There are Recent Customer Complaints with Broker Shaun Floresca in Firm LPL Financial LLC

June 10, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on January 02, 2024.

Customer alleges that an investment made in 2014 was inappropriate for the customer’s investment objectives and risk tolerance.

Broker Philip Miceli in MML Investors Services, LLC Firm Has Customer Complaint

June 10, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on January 02, 2024.

The complainant alleges that her registered representative, provided her ill-advice, regarding a withdrawal from her inherited IRA, on or about, November 17, 2023, and as a result, she will owe a tremendous amount in taxes.

There are Recent Customer Complaints with Broker Krikor Demirjian in Firm Vanderbilt Securities, LLC

June 10, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Krikor Demirjian (Demirjian), currently associated with Vanderbilt Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Demirjian 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 $5,000.00 on January 03, 2024.

Customer alleges that an investment recommendation was unsuitable.

There are Recent Customer Complaints with Broker Matthew Romeo in Firm Mid Atlantic Capital Corporation

June 10, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Romeo (Romeo), previously associated with Mid Atlantic Capital Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Romeo 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 $500,000.00 on December 28, 2023.

In August 2014, Claimant opted to invest in a Real Estate Investment Trust contrary to Mr. Romeo’s recommendation that he invest in a diversified portfolio of stocks and bonds. Claimant was seeking a source of income and he liked and understood real estate. Claimant’s investment has not met his expectations and he now alleges the REIT was misrepresented and was unsuitable for him.

There are Recent Customer Complaints with Broker Vincent Pallitto in Firm LPL Financial LLC

June 10, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on January 02, 2024.

Customer alleges that an investment made in 2014 was inappropriate for the customer’s investment objectives and risk tolerance.

Broker Christopher Baughan in LPL Financial LLC Firm Has Customer Complaint

June 10, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on January 02, 2024.

Customer alleges that an investment made in 2013 was inappropriate for the customer’s investment objectives and risk tolerance.

There are Recent Customer Complaints with Broker Kalen Baxter in Firm LPL Financial LLC

June 10, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on January 02, 2024.

Customer alleges that investments made in 2014 were inappropriate for the customer’s

Broker Damian Maggio in Joseph Stone Capital L.l.c. Firm Has Customer Complaint

June 10, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Damian Maggio (Maggio), currently associated with Joseph Stone Capital L.l.c., has at least one disclosable event. These events include one customer complaint, alleging that Maggio 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 $350,000.00 on January 03, 2024.

Failure to supervise