Reg BI

Broker Bradford Lucas in Centaurus Financial, INC. Firm Has Customer Complaint

June 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bradford Lucas (Lucas), currently associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Lucas 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 $8,479.93 on January 15, 2024.

Client claims that in May of 2023, the Registered Representative gave a poor recommendation that resulted in the client getting an inferior product over the one he previously held.

Broker Gary Lear in MML Investors Services, LLC Firm Has Customer Complaint

June 8, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on January 15, 2024.

The complainant alleges that his registered representative, never informed him that he couldn’t withdraw only after-tax deposits in his account, and had he known, he never would have rolled his money over, on or around November 15, 2019.

Broker Brian Everett in Cetera Advisors LLC Firm Has Customer Complaint

June 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Everett (Everett), currently associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Everett 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 January 11, 2024.

Claimant alleges unsuitable recommendations and over concentration in alternative investments

Broker Richard Neuman in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

June 8, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on January 11, 2024.

Client alleges failure to satisfy fiduciary responsibilities.

Broker Leo Rosner in Cambridge Investment Research, INC. Firm Has Customer Complaint

June 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Leo Rosner (Rosner), currently associated with Cambridge Investment Research, INC., has at least one disclosable event. These events include one customer complaint, alleging that Rosner 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 $700,000.00 on January 17, 2024.

Statement of Claim alleges the financial professional recommended an unsuitable investment. Claimants suggest the investment was misrepresented to them.

Broker Yu Bai in Landolt Securities, INC. Firm Has Customer Complaint

June 7, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Yu Bai (Bai), previously associated with Landolt Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Bai 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 January 23, 2024.

Almost 3.5 years after client purchased GWG L Bonds, and almost 2 years following GWG Holdings Inc. filing for Chapter 11 bankruptcy protection, the customer is now alleging that their L bond purchases from August 2020 were improperly sold.

There are Recent Customer Complaints with Broker Eric Reed in Firm MML Investors Services, LLC

June 7, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on January 22, 2024.

The Trustee alleges that he was not presented with any options other than the recommended five (5) variable universal life insurance policies he purchased in December 2021.

There are Recent Customer Complaints with Broker Jennifer Lander in Firm Realta Equities, INC.

June 7, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jennifer Lander (Lander), currently associated with Realta Equities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Lander 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 January 18, 2024.

Claimant alleges unsuitable investments.

Broker Michael Madden in Raymond James & Associates, INC. Firm Has Customer Complaint

June 7, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Madden (Madden), currently associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Madden 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 $220,000.00 on January 19, 2024.

Claimant alleges FAs failed to follow her instructions to re-invest dividends from specified securities.

There are Recent Customer Complaints with Broker John Patock in Firm Moloney Securities Co., INC.

June 7, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Patock (Patock), currently associated with Moloney Securities Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Patock 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 $150,000.00 on January 19, 2024.

Suitability/negligence. 2021