Reg BI

There are Recent Customer Complaints with Broker Cindy Ghattas in Firm Waddell & Reed

May 29, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Cindy Ghattas (Ghattas), previously associated with Waddell & Reed, has at least one disclosable event. These events include one customer complaint, alleging that Ghattas 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 $1,000,000.00 on March 06, 2024.

Alleged breach of fiduciary duty, negligence/gross negligence, negligent misrepresentation, intentional misrepresentations/omissions, breach of contract, violation of the North Carolina Securities Act, and violation of the Kansas Securities Act regarding options trading from February 2017 to September 2023.

There are Recent Customer Complaints with Broker Matthew Westberry in Firm Scf Securities, INC.

May 29, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Westberry (Westberry), previously associated with Scf Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Westberry 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 March 08, 2024.

The Statement of Claim alleges the financial professional recommended a speculative, illiquid, high commission product that was unsuitable for the clients. It is alleged this recommendation exposed clients to unnecessary risk.

There are Recent Customer Complaints with Broker Edmund Hughes in Firm Pnc Investments

May 29, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Edmund Hughes (Hughes), currently associated with Pnc Investments, has at least one disclosable event. These events include one customer complaint, alleging that Hughes 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 $210,000.00 on March 08, 2024.

Client alleges representative did not inform her of tax consequences of recommended transaction.

Broker John Carty Campbell in Commonwealth Financial Network Firm Has Customer Complaint

May 29, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Carty Campbell (Carty Campbell), previously associated with Commonwealth Financial Network, has at least one disclosable event. These events include one customer complaint, alleging that Carty Campbell 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 $40,000.00 on March 06, 2024.

Client alleging advisor sold unsuitable alternative investments.

Broker Craig Nomberg in Wells Fargo Clearing Services, LLC Firm Has Customer Complaint

May 29, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Craig Nomberg (Nomberg), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Nomberg 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 $500,000.00 on March 07, 2024.

Allegations: SOAEX purchase – unsuitability, misrepresentation and omissions Allegation period: December 4, 2018, the date of the first purchase of SOAEX to March 7, 2024 the date the SOC was received.

Broker Patrick Egan in Western International Securities, INC. Firm Has Customer Complaint

May 29, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Patrick Egan (Egan), previously associated with Western International Securities, INC., has at least 3 disclosable events. These events include 3 customer complaints, alleging that Egan 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 $50,001.00 on March 06, 2024.

Misrepresentation

Broker Sonia Attkiss in UBS Financial Services INC. Firm Has Customer Complaint

May 29, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sonia Attkiss (Attkiss), currently associated with UBS Financial Services INC., has at least 3 disclosable events. These events include 3 customer complaints, alleging that Attkiss recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on March 07, 2024.

Time frame: January 2018 – Present\, \, Allegations: Claimant alleges unsuitability and misrepresentation with respect to recommendations to invest in and hold an options overlay strategy.

Broker Michael Norton in David Lerner Associates, INC. Firm Has Customer Complaint

May 29, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Norton (Norton), currently associated with David Lerner Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Norton 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 $500,000.00 on March 07, 2024.

Gabelli purchase – unsuitability, misrepresentation and omissions\, Allegation period: December 4, 2018, the date of the first purchase of SOAEX to March 7, 2024 the date the SOC was received.

Broker Christopher Passero in Money Concepts Capital CORP Firm Has Customer Complaint

May 29, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Passero (Passero), currently associated with Money Concepts Capital CORP, has at least one disclosable event. These events include one customer complaint, alleging that Passero 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 $35,000.00 on March 08, 2024.

Claimant alleged that the product failed and was unsuitable.

Broker Ronald Albers in Wells Fargo Clearing Services, LLC / LPL Financial LLC Firm Has Customer Complaint

May 29, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ronald Albers (Albers), currently associated with Wells Fargo Clearing Services, LLC / LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Albers 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 $50,000.00 on March 11, 2024.

Claimant alleges his Financial Advisor (FA) and Wells Fargo (WF) engaged in an active trading strategy causing Claimant losses in his account while the markets earned generational returns. Claimant claims Breach of Fiduciary Duty, Negligence and Negligent Supervision. Claimant seeks $50,000.00 in compensatory damages.