Reg BI

There are Recent Customer Complaints with Broker Curtis Wilson in Firm Securities America, INC.

April 30, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Curtis Wilson (Wilson), previously associated with Securities America, INC., has at least one disclosable event. These events include one customer complaint, alleging that Wilson 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 $761,000.00 on June 04, 2024.

The complaint alleged that Mr. Wilson traded S&P 500 put options in this advisory account on or about September 30, 2022, that were inappropriate, unsuitable, without the proper disclosures, advice or authorizations.

There are Recent Customer Complaints with Broker Joseph Cowper in Firm Sofi Securities LLC

April 29, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Cowper (Cowper), currently associated with Sofi Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Cowper 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 $3,840.00 on June 12, 2024.

On 4/19/2024, the claimant’s savings account was compromised and $120.00 was misappropriated by a bad actor. His investment account was compromised on 4/23/2024, and $1600.00 was misappropriated by a bad actor. Also on 4/23/2024, the claimant’s brokerage account was used to purchase Nvidia stock. The claimant did not agree with SoFi’s handling of his fraud claims. The claimant was seeking restitution and damages in the amount of $3820. The registered representative had limited interaction with the claimant for account service purposes only, and was not involved in the account activity in question or the subsequent investigation process.

There are Recent Customer Complaints with Broker Ryan Sherer in Firm Emerson Equity LLC

April 29, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on June 12, 2024.

Unsuitable recommendations, violation of common law fraud, breach of fiduciary duty, negligence

Broker Andrew Hauber in Dfpg Investments, LLC Firm Has Customer Complaint

April 29, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andrew Hauber (Hauber), currently associated with Dfpg Investments, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hauber 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 $97,533.21 on June 11, 2024.

Client alleges the annuity was not suitable and that Mr. Hauber misrepresented the features of the annuity

Broker Christina Silvius in Moloney Securities Co., INC. Firm Has Customer Complaint

April 29, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christina Silvius (Silvius), currently associated with Moloney Securities Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Silvius 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 June 10, 2024.

Suitability/negligence. 2019

Broker Aishka Lugo in UBS Financial Services INC. Firm Has Customer Complaint

April 29, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on June 10, 2024.

Time frame: Unspecified\, \, Allegations: Claimant alleges her investments in Puerto Rico closed-end funds were unsuitable, over-concentrated, and misrepresented as safe investments.

Broker Charles Munoz in Centaurus Financial, INC. Firm Has Customer Complaint

April 29, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Charles Munoz (Munoz), currently associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Munoz 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 $21,000.00 on June 11, 2024.

The customer alleges that in May of 2020, the Registered Representative recommended an unsuitable, high-risk, illiquid investment and breached his fiduciary duty.

Broker Shannon Moore in LPL Financial LLC Firm Has Customer Complaint

April 29, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Shannon Moore (Moore), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Moore 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 $200,000.00 on June 12, 2024.

Customer alleges that an investment made in 2016 was unsuitable for the customer’s investment objectives and risk tolerance.

Broker Cary Urich in Vanderbilt Securities, LLC Firm Has Customer Complaint

April 29, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Cary Urich (Urich), currently associated with Vanderbilt Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Urich 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 $710,000.00 on June 11, 2024.

Unsuitability, breach of fiduciary duty, negligence and deception.

There are Recent Customer Complaints with Broker Anthony Pace in Firm M Holdings Securities, INC.

April 29, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Anthony Pace (Pace), currently associated with M Holdings Securities, INC., has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Pace 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 $83,799.00 on June 12, 2024.

The client was advised they did not have to take RMDs in 2016-2022 because they were employed. Advisor missed that the client was a 5% owner and, therefore did have to take distributions.