Reg BI

There are Recent Customer Complaints with Broker John Woo in Firm Transamerica Financial Advisors, LLC

June 4, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Woo (Woo), currently associated with Transamerica Financial Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Woo 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 $5,000.00 on February 07, 2024.

Claimant alleges representative failed to assist client, her deceased spouse, with making premium payments and avoid lapse of coverage.

There are Recent Customer Complaints with Broker Todd Pilosi in Firm LPL Financial LLC

June 4, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on February 08, 2024.

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

Broker Steven Musser in Avantax Investment Services, INC. Firm Has Customer Complaint

June 4, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on February 08, 2024.

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

There are Recent Customer Complaints with Broker Sandeep Varma in Firm Avantax Investment Services, INC.

June 4, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on February 08, 2024.

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

There are Recent Customer Complaints with Broker Ronald Denova in Firm Ameriprise Financial Services, LLC

June 4, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on February 08, 2024.

Customer alleges that investments made in 2014 were unsuitable for the customer’s investment objectives and risk tolerance.

Broker Joshua Washington in Morgan Stanley Firm Has Customer Complaint

June 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joshua Washington (Washington), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Washington 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 $115,070.00 on February 12, 2024.

Claimant alleges, inter alia, that the client did not authorize the use of margin to fund a wire transfer and that his instructions to liquidate securities to fund the transfer were not followed

Broker Donte Lambert in Pnc Investments Firm Has Customer Complaint

June 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Donte Lambert (Lambert), previously associated with Pnc Investments, has at least one disclosable event. These events include one customer complaint, alleging that Lambert 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 $6,484.00 on February 12, 2024.

Client alleged market linked CD recommendation was not consistent with her intent to purchase a bank CD.

Broker Sotiraq Qirjollari in LPL Financial LLC Firm Has Customer Complaint

June 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sotiraq Qirjollari (Qirjollari), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Qirjollari 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 $72,577.00 on February 12, 2024.

Customer alleges representative recommended an unsuitable portfolio of investments during the time period March 2017 to March 2020.

Broker Gavin Langley in Saxony Securities, INC. Firm Has Customer Complaint

June 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gavin Langley (Langley), currently associated with Saxony Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Langley 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 February 12, 2024.

GWG Holdings, Inc. filed Chapter 11 bankruptcy on April 20, 2022. No Statement of Claim filed by client or opposing counsel.

Broker Christopher Weeks in Northwestern Mutual Investment Services, LLC Firm Has Customer Complaint

June 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Weeks (Weeks), previously associated with Northwestern Mutual Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Weeks 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 $800,000.00 on February 14, 2024.

Claimant alleges breach of fiduciary duty, negligence, and violations of the Kansas Securities Act for options trading from June 2018 through June 2023.