Reg BI

Broker Marc Minor in Osaic Wealth, INC. Firm Has Customer Complaint

May 26, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Marc Minor (Minor), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Minor 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 $75,000.00 on March 18, 2024.

Claimant alleges unsuitable recommendation and sale of alternative investment and unauthorized trading of bond portfolio.

Broker Michael Lynch in LPL Financial LLC Firm Has Customer Complaint

May 26, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on March 19, 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 Stephen Bush in Firm Capital Investment Group, INC.

May 26, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on March 18, 2024.

Per the Form U5 filed by LPL Financial, the customers allege that investments made in 2014 were unsuitable for their father’s investment objectives and risk tolerance.

There are Recent Customer Complaints with Broker Robert Palatella in Firm Wells Fargo Clearing Services, LLC

May 26, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Palatella (Palatella), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Palatella 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 19, 2024.

Claimant alleges that in 2021, the Financial Advisor made unsuitable securities recommendations for her investment experience and risk tolerance.

There are Recent Customer Complaints with Broker Danette Volpenhein in Firm State Farm Vp Management Corp.

May 25, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Danette Volpenhein (Volpenhein), currently associated with State Farm Vp Management Corp., has at least one disclosable event. These events include one customer complaint, alleging that Volpenhein 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 $56,000.00 on March 20, 2024.

The tax benefit was not explained properly.

There are Recent Customer Complaints with Broker Eric Garcia in Firm Osaic Institutions, INC.

May 25, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eric Garcia (Garcia), currently associated with Osaic Institutions, INC., has at least one disclosable event. These events include one customer complaint, alleging that Garcia 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 $105,000.00 on March 21, 2024.

As a result of Respondent’s failure to conduct due diligence on PBIHL and as a result of\, Respondent’s recommendation of a high-risk speculative product that placed Claimant’s savings\, severely at risk,

Broker Edward Prince in Moloney Securities Co., INC. Firm Has Customer Complaint

May 25, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Edward Prince (Prince), currently associated with Moloney Securities Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Prince 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 $140,000.00 on March 22, 2024.

Suitability/negligence. 2021

Broker Roger Johnson in LPL Financial LLC Firm Has Customer Complaint

May 25, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Roger Johnson (Johnson), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Johnson 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 $400,000.00 on March 22, 2024.

Customers allege that between September 2021 and March 2023 advisor made unsuitable recommendations into equity listed securities and other causes of actions related to these trades.

There are Recent Customer Complaints with Broker Daniel Pugel in Firm LPL Financial LLC

May 25, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on March 19, 2024.

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

There are Recent Customer Complaints with Broker Jason Mieras in Firm Osaic Wealth, INC.

May 25, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jason Mieras (Mieras), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Mieras 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 $114,000.00 on March 22, 2024.

Customers allege misrepresentation of two variable annuities purchased in 2019 and poor recommendation/advice to liquidate one of such. Customers further allege investments made in an advisory account from 2021 to 2022 were unsuitable.