Reg BI

There are Recent Customer Complaints with Broker James Jenkins in Firm Creativeone Securities, LLC

May 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Jenkins (Jenkins), currently associated with Creativeone Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Jenkins 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 $100,000.00 on April 05, 2024.

Claimants allege failure to supervise, breach of contract, material misrepresentations, breach of fiduciary duty and lack of suitability in regard to recommendations in alternative products.

There are Recent Customer Complaints with Broker Ricky Whitmire in Firm LPL Financial LLC

May 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ricky Whitmire (Whitmire), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Whitmire 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 $22,000.00 on April 01, 2024.

The client stated that the agreed-upon allocations for a variable annuity opened in 2022 while the advisor was registered at CUNA Brokerage Services, Inc. were not in their best interest. Moreover, the client stated that the advisor, while registered at LPL, failed to assist in modifying the variable annuity’s subaccount allocation (2023), causing the client to miss the deadline for an allocation change and subsequent losses. The client asked for a return of their account losses and hypothetical gains if the account had been invested differently at account opening, totaling $22,000.

There are Recent Customer Complaints with Broker Michael Jawien in Firm Morgan Stanley

May 12, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on April 05, 2024.

Allegations were made against the FA for unsuitable recommendations in October 2020

There are Recent Customer Complaints with Broker Christopher Browning in Firm Equitable Advisors, LLC

May 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Browning (Browning), currently associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Browning 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 $230,000.00 on April 03, 2024.

Misrepresentation

Broker Scott Lee in Ausdal Financial Partners, INC. Firm Has Customer Complaint

May 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Scott Lee (Lee), previously associated with Ausdal Financial Partners, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Lee 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 $102,000.00 on April 01, 2024.

Suitability/negligence. 2018

Broker Richard Pascale in Lifemark Securities Corp. Firm Has Customer Complaint

May 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Pascale (Pascale), currently associated with Lifemark Securities Corp., has at least one disclosable event. These events include one customer complaint, alleging that Pascale 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 $340,000.00 on April 02, 2024.

Allegations pertain to an investment in an alternative product, intended to be a small component of a larger diversified portfolio. Investments were purchased from 09/2019 to 02/2020. Unfortunately, the company that issued the investment has since filed Chapter 11 bankruptcy. As a result, allegations include negligence, breach of fiduciary duty, failure to adhere to Best Interest obligation.

There are Recent Customer Complaints with Broker James Neel in Firm Commonwealth Financial Network

May 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Neel (Neel), currently associated with Commonwealth Financial Network, has at least one disclosable event. These events include one customer complaint, alleging that Neel 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 $60,000.00 on April 04, 2024.

Claimant alleges the RR recommended unsuitable Oil & Gas investments.

There are Recent Customer Complaints with Broker Eric Anderson in Firm Nylife Securities LLC

May 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eric Anderson (Anderson), currently associated with Nylife Securities LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Anderson recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on April 04, 2024.

The customer alleges that his specific instructions in May 2020 to reinvest dividend was not followed.

There are Recent Customer Complaints with Broker Paul Weinberger in Firm Cetera Financial Specialists LLC

May 12, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on April 02, 2024.

Client alleges he was unaware a Roth conversion recommended by the rep created an unknown tax consequence

Broker Rodger Mcalister in Money Concepts Capital CORP Firm Has Customer Complaint

May 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Rodger Mcalister (Mcalister), currently associated with Money Concepts Capital CORP, has at least one disclosable event. These events include one customer complaint, alleging that Mcalister 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 $225,000.00 on April 03, 2024.

Client Alleges the recommendations were unsuitable