Reg BI

There are Recent Customer Complaints with Broker Allen Wilson in Firm Wells Fargo Clearing Services, LLC

April 30, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Allen Wilson (Wilson), currently associated with Wells Fargo Clearing Services, LLC, has at least 3 disclosable events. These events include 3 customer complaints, 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 $475,000.00 on June 05, 2024.

Beginning in late 2020, Claimants alleges their Financial Advisor (FA) made unsuitable investment recommendations which were inappropriate for their risk tolerance and investment strategy.

Broker John Pigeon in Osaic Institutions, INC. Firm Has Customer Complaint

April 30, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Pigeon (Pigeon), currently associated with Osaic Institutions, INC., has at least one disclosable event. These events include one customer complaint, alleging that Pigeon 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 $120,000.00 on June 05, 2024.

Firm and FP failed to observe high standards of commercial honor and just and equitable principles of trade.

Broker David Baldwin in Key Investment Services LLC Firm Has Customer Complaint

April 30, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Baldwin (Baldwin), currently associated with Key Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Baldwin 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 $11,890.00 on June 04, 2024.

Client alleges the December 2023 purchase of two F & G fixed annuities totaling $174,779 were misrepresented.

There are Recent Customer Complaints with Broker Paul Pavelski in Firm Morgan Stanley

April 30, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Paul Pavelski (Pavelski), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Pavelski 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 $100,000.00 on June 06, 2024.

Customer alleges misrepresentations and omissions of material information, unsuitable investment recommendations, failure to conduct required due diligence, violations of firm policies and procedures, and violations of securities industry rules related to a July 2020 purchase of GWG L Bonds. GWG entered bankruptcy in April 2022.

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.