Reg BI

Broker Peter Abeles in Sequence Financial Specialists LLC Firm Has Customer Complaint

May 3, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on May 17, 2024.

Respondent Sequence and its agents, including the Individual Respondents, represented themselves to the Claimants as an expert in investing as well as tax and retirement planning. Respondent touted the benefits of conservation easement investments as a reliable tax saving strategy. Claimants were assured that the conservation easement investments offered the best of both worlds.

Broker James Moriarity in Morgan Stanley Firm Has Customer Complaint

May 3, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on May 21, 2024.

Claim alleges, inter alia, that the short hedge investment strategy he utilized while his account was at Morgan Stanley was not in his best interests. 1998-2004

There are Recent Customer Complaints with Broker Marco Azizi in Firm Centaurus Financial, INC.

May 3, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on May 20, 2024.

The customer alleges that the Registered Representative recommended an unsuitable, high-risk, illiquid investment and breached his fiduciary duty. No specific dates for the alleged activity were identified in the Statement of Claim.

Broker James Stossel in LPL Financial LLC Firm Has Customer Complaint

May 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Stossel (Stossel), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Stossel 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 $11,000.00 on May 17, 2024.

The client alleges the advisor delayed following instructions to reduce risk in a Model Wealth Portfolio account, resulting in damages totaling $11,000.\, Failure to follow instruction. 03-18-2024 to 05-02-2024

Broker William King in Exemplar Capital, LLC Firm Has Customer Complaint

May 3, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on May 17, 2024.

Respondent Sequence and its agents, including the Individual Respondents, represented themselves to the Claimants as an expert in investing as well as tax and retirement planning. Respondent touted the benefits of conservation easement investments as a reliable tax saving strategy. Claimants were assured that the conservation easement investments offered the best of both worlds.

Broker John Howle in Usca Securities LLC Firm Has Customer Complaint

May 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Howle (Howle), currently associated with Usca Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Howle 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 $499,999.00 on May 17, 2024.

Claimant makes claims related to the recommendation and performance of specific securities purchased in her accounts from 2017 to 2022 which were selected as part of a broader strategy.

Broker Mark Madden in Valic Financial Advisors, INC. Firm Has Customer Complaint

May 2, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on May 21, 2024.

Per the NYLife Securities, LLC filing, the Customer alleges he was misled when he purchased a VUL in 2019. He claims it was not set up or designed to meet his specified goals. The Customer has requested to drop the death benefit without incurring surrender charges or any additional fees.

There are Recent Customer Complaints with Broker Sicheng Tao in Firm Fidelity Brokerage Services LLC

May 2, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on May 24, 2024.

Time Frame: September 13th, 2021 to March 16th, 2022 What were the allegations against the individual? The firm settled a matter where the client alleges she was not made aware her money was placed in bond funds and that the risk of the bon fund was never disclosed. The client further alleges the trade was unauthorized.

Broker Jeffery Sanders in Woodmen Financial Services, INC. Firm Has Customer Complaint

May 2, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffery Sanders (Sanders), previously associated with Woodmen Financial Services, INC., has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Sanders recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on May 23, 2024.

Respondent Sanders failed to respond to FINRA requests for information.

There are Recent Customer Complaints with Broker Richard Barker in Firm Merrill Lynch, Pierce, Fenner & Smith Incorporated

May 2, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on May 23, 2024.

Customer alleges unauthorized trading of three mutual funds by Financial Advisor on April 10, 2024 when account was enrolled in a managed platform and automatically rebalanced all holdings within account.