Reg BI

There are Recent Customer Complaints with Broker Brian Sodol in Firm Citigroup Global Markets INC.

April 26, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Sodol (Sodol), currently associated with Citigroup Global Markets INC., has at least one disclosable event. These events include one customer complaint, alleging that Sodol 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 $1,600,000.00 on June 21, 2024.

Claimant alleges that his financial advisor, Brian Sodol, failed to timely execute the sale of $1.6 million-worth of subscription rights in a certain company’s stock before the rights expired. Customer alleges the failure amounted to breach of fiduciary duty, negligence, and negligent supervision by Citigroup Global Markets Inc. Claimant also seeks to hold Mr. Sodol personally liable for negligence. Claimant seeks $1.6 million in compensation, plus interest, costs, disgorgement of commissions and punitive damages.

There are Recent Customer Complaints with Broker Pasquale Evangelista in Firm Raymond James & Associates, INC.

April 26, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Pasquale Evangelista (Evangelista), currently associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Evangelista 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 $277,686.00 on June 24, 2024.

Claimant alleges FA had a conflict of interest from also servicing claimant’s sibling’s account and the account of Claimant’s mother’s trust and that FA pressured her to sell securities in her account to pay down a line of credit even though her account was not the primary pledged account for the line. Claimant also alleges that following transfer of the funds to pay down the line, her account was frozen, and securities were liquidated because the account balance fell below the loan-ratio requirements. Allegation Activity Dates: 8/2018 – 8/2023.

Broker Matthew Mckenzie in Morgan Stanley Firm Has Customer Complaint

April 26, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Mckenzie (Mckenzie), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Mckenzie 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 $9,634.00 on June 24, 2024.

Client alleges, inter alia, misrepresentation with respect to commissions charged on options trading June 2024

Broker Ralph Stockemer in Northwestern Mutual Investment Services, LLC Firm Has Customer Complaint

April 26, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ralph Stockemer (Stockemer), currently associated with Northwestern Mutual Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Stockemer 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 $1,000,000.00 on June 25, 2024.

Plaintiffs, co-trustees of a family trust and a representative of an account owner’s estate, allege that the account owner’s son and grandson misappropriated the account owner’s funds by exercising undue influence over the account owner and directing her to authorize transfers into and out of an investment advisory account for the benefit of the son and grandson. Plaintiffs allege that representative, who is not a member of plaintiff’s family and is unrelated to the account owner and her son and grandson, aided and abetted the son’s and grandson’s tortious conduct.

Broker Scott Aabel in Spire Securities, LLC Firm Has Customer Complaint

April 26, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Scott Aabel (Aabel), currently associated with Spire Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Aabel 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 $30,000.00 on June 24, 2024.

Claimant alleges unsuitable investment was recommended with the purchase of GWG L Bonds in 2019 after GWG filed for bankruptcy in 2022.

Broker William Novack in Cfd Investments, INC. Firm Has Customer Complaint

April 26, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Novack (Novack), previously associated with Cfd Investments, INC., has at least one disclosable event. These events include one customer complaint, alleging that Novack 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 $70,000.00 on June 26, 2024.

Claimant alleges that representative recommended unsuitable investments in a misleading manner.

There are Recent Customer Complaints with Broker Gerald Ohalloran in Firm Union Capital Company

April 26, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gerald Ohalloran (Ohalloran), currently associated with Union Capital Company, has at least one disclosable event. These events include one customer complaint, alleging that Ohalloran 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 24, 2024.

Allegation is Unsuitable product purchased in 2020.

There are Recent Customer Complaints with Broker Kieran Varga in Firm UBS Financial Services INC.

April 25, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on July 01, 2024.

Time Frame: November 28th 2023\, What were the allegations against the individual?. The client verbally alleges her instruction were not followed as she did not want to cash out during the VMware/Broadcom acquisition.

There are Recent Customer Complaints with Broker Allison Terlip in Firm Ameritas Investment Company, LLC

April 25, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Allison Terlip (Terlip), previously associated with Ameritas Investment Company, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Terlip 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 $817,916.00 on June 28, 2024.

FINRA Arbitration 24-01377 in which claimants allege deceptive two-part investment strategy which led to the recommendation of unsuitable investments.

There are Recent Customer Complaints with Broker Anthony Liddle in Firm Landolt Securities, INC.

April 25, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Anthony Liddle (Liddle), previously associated with Landolt Securities, INC., has at least 3 disclosable events. These events include 2 customer complaints, one regulatory event, alleging that Liddle 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 $262,000.00 on June 27, 2024.

Customer alleges that representative made misrepresentations and misappropriated the customer’s investments.