Reg BI

There are Recent Customer Complaints with Broker John Lynde in Firm Cetera Advisors LLC

June 10, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Lynde (Lynde), currently associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lynde 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 Shane Siederman in the Strategic Financial Alliance, INC. Firm Has Customer Complaint

June 10, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Shane Siederman (Siederman), currently associated with the Strategic Financial Alliance, INC., has at least one disclosable event. These events include one customer complaint, alleging that Siederman 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.

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

Broker Rene Castro in Great Point Capital LLC Firm Has Customer Complaint

June 10, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Rene Castro (Castro), currently associated with Great Point Capital LLC, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Castro 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 $32,000.00 on January 03, 2024.

Claimant Trust alleges it was not suitable for the GWG L Bonds sold to it by Mr. Castro, acting as a registered representative of Great Point Capital, the Broker Dealer.

Broker Richard Bingaman in Robert W. Baird & CO. Incorporated Firm Has Customer Complaint

June 10, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Bingaman (Bingaman), currently associated with Robert W. Baird & CO. Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Bingaman 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 $175,000.00 on January 02, 2024.

Client alleges that funds were transferred from her account to pay off a debt without her authorization.

There are Recent Customer Complaints with Broker Anthony Marciano in Firm LPL Financial LLC

June 10, 2025 | by Staff Attorney

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

Broker Ciro Longobardi 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 Ciro Longobardi (Longobardi), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Longobardi 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 Edward Turley in J.P. Morgan Securities LLC Firm Has Customer Complaint

June 10, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Edward Turley (Turley), previously associated with J.P. Morgan Securities LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Turley 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 $5,000,000.00 on January 03, 2024.

Claimant alleges exercise of discretion and unsuitable trading. Activity dates 2011 – 2019.

Broker Michele Savarese in Creativeone Securities, LLC Firm Has Customer Complaint

June 10, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michele Savarese (Savarese), currently associated with Creativeone Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Savarese 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 $100,000.00 on January 03, 2024.

Breach of fiduciary duty and account negligence

There are Recent Customer Complaints with Broker Joseph Ward in Firm Northwestern Mutual Investment Services, LLC

June 9, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Ward (Ward), currently associated with Northwestern Mutual Investment Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Ward recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on January 08, 2024.

Time Frame: October 16th 2023 to October 23rd 2023 What were the allegations against the individual? Client verbally alleged the instruction to tender his shares in his stock option account were not followed or actioned.

Broker Ridge Goodwin in Nylife Securities LLC Firm Has Customer Complaint

June 9, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on January 10, 2024.

Customer alleges the Variable Universal Life Insurance policy he purchased in December 2021 was originally understood to be an investment that would provide growth rather than an insurance policy with a high premium, Based on his current understanding, customer now requests a refund of premium.