Reg BI

Broker Samuel Barber in Lifemark Securities Corp. Firm Has Customer Complaint

May 1, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Samuel Barber (Barber), currently associated with Lifemark Securities Corp., has at least one disclosable event. These events include one customer complaint, alleging that Barber 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 $80,000.00 on May 28, 2024.

Allegations pertain to an investment in an alternative product intended to be a small component of a larger diversified portfolio. Investment was purchased in 09/2020. Unfortunately, the company that sold the investment has since filed Chapter 11 bankruptcy. Allegations include failure to perform due diligence, material misrepresentation, negligence, and an unsuitable recommendation.

Broker Christopher Avery in IBN Financial Services, INC. Firm Has Customer Complaint

May 1, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Avery (Avery), currently associated with IBN Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Avery 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 $633,000.00 on May 24, 2024.

Failure to supervise the activities of RR during his period of association, March 2021 through June 2022.

Broker Raymond Desrosiers in Eagle Point Securities LLC Firm Has Customer Complaint

May 1, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Raymond Desrosiers (Desrosiers), currently associated with Eagle Point Securities LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Desrosiers 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 June 01, 2024.

Based on investment activity in 2018, claimants allege the following: omission of material facts, material misstatements, breach of fiduciary duty, negligence, and lack of supervision.

There are Recent Customer Complaints with Broker John Byers in Firm Thrivent Investment Management INC.

May 1, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on May 28, 2024.

Client alleged RR did not indicate retirement funds were being transferred to a new Variable Annuity contract in January 2024, nor were the fees or surrender charges disclosed.

There are Recent Customer Complaints with Broker Catherine Bradford in Firm Cetera Investment Services LLC

May 1, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on May 27, 2024.

Client alleges financial losses due to lack of credible advice causing delays in investing.

Broker Philip Gibson in Newbridge Securities Corporation Firm Has Customer Complaint

May 1, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on May 28, 2024.

Breach of fiduciary duty, breach of contract, failure to supervise, negligence reg bi.

There are Recent Customer Complaints with Broker Patrick Siria in Firm Cetera Investment Services LLC

May 1, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Patrick Siria (Siria), previously associated with Cetera Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Siria 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 03, 2024.

Claimant alleges unsuitable investment recommendations which resoluted in losses.

There are Recent Customer Complaints with Broker Curtis Edmark in Firm Centaurus Financial, INC.

May 1, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Curtis Edmark (Edmark), currently associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Edmark 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 $150,000.00 on May 29, 2024.

In March of 2019, and in May of 2020, the customer alleges that the Registered Representative recommended unsuitable, high-risk, speculative, illiquid investments and breached his fiduciary duty.

There are Recent Customer Complaints with Broker Kenneth Maring in Firm Morgan Stanley

May 1, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on June 04, 2024.

Beginning in 2014, Claimants allege their Financial Advisors (FA) made unsuitable investment recommendations with regard to their long-term objectives and risk tolerance causing Claimants to suffer significant losses.

There are Recent Customer Complaints with Broker Mark Kuttler in Firm Rnr Securities, L.l.c.

May 1, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on May 29, 2024.

Claimants state from 2007 to 2022 Registered Representative recommended illiquid unsuitable investment strategies.