Articles Posted in Reg BI

| by

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

FINRA BrokerCheck shows a pending customer complaint on April 16, 2025.

In or around 2024, the complainant alleges that she thought that she was signing a form to have the rep become the rep on her accounts and that she didn’t expect the rep to move her money. She states that the taxes related to these transactions weren’t discussed.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Martino (Martino), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Martino 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 $7,092.02 on April 09, 2025.

The client alleged that the advisor iformed them upon purchase that metlife stable value fund did not contain a market value adjustment fee; however, they were assessed a mva fee upon existing the fund within their 401k in 2024.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Harrison Chang (Chang), currently associated with Innovation Partners LLC, has at least one disclosable event. These events include one customer complaint, alleging that Chang 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 $388,000.00 on April 14, 2025.

Customer alleges that an investment recommendation was unsuitable and misleading

Continue Reading

| by

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

FINRA BrokerCheck shows a pending customer complaint on April 15, 2025.

Customer alleges product was not suitable for him.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Corbella (Corbella), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Corbella 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 $10,000.00 on April 09, 2025.

The client complains that they did not understand that their assets would be invested in the market and could decline in value. Client demands to be made whole. (3/26/2025-4/9/2025)

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Mcdonald (Mcdonald), currently associated with Sigma Financial Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Mcdonald 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 $230,000.00 on April 11, 2025.

The Arbitration Statement of Claim alleged misrepresentation and negligence in connection with the investments purchased in 2012 thru 2016. Claimant further alleges the BD supervision of the claimant’s account was inadequate.

Continue Reading

| by

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

FINRA BrokerCheck shows a pending customer complaint on April 16, 2025.

POA for the customer alleged FA Michael O’Keefe incorrectly told the principal the monthly annuity distribution was a lifetime withdrawal benefit.

Continue Reading

| by

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

FINRA BrokerCheck shows a pending customer complaint on April 14, 2025.

Unsuitable recommendations of alternative investments.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Frongillo (Frongillo), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Frongillo 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 $40,000.00 on April 15, 2025.

Claimant alleges the RR recommended an unsuitable Oil & Gas Investment

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Rosenmayer (Rosenmayer), currently associated with Oppenheimer & CO. INC., has at least one disclosable event. These events include one customer complaint, alleging that Rosenmayer 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 April 09, 2025.

Claimant asserts claims for negligence, negligent misrepresentation, breach of fiduciary duty, unsuitability, fraud, breach of contract, elder abuse and violations of state and federal securities laws in connection with investments in municipal bonds. 7/1/2021 to present

Continue Reading
Contact Information
295 Madison Ave #705
New York, NY 10017
Toll Free: 800-810-4262
3706 N Greenview Ave
#100
Chicago, IL 60613
28 Valley Rd
#1
Montclair, NJ 07042
ATTORNEY ADVERTISING

This site is protected by reCAPTCHA and the Google Privacy Policy and Terms of Service apply.

Please do not include any confidential or sensitive information in a contact form, text message, or voicemail. The contact form sends information by non-encrypted email, which is not secure. Submitting a contact form, sending a text message, making a phone call, or leaving a voicemail does not create an attorney-client relationship.

Copyright © 2025, Gana Weinstein LLP
JUSTIA Law Firm Blog Design