Reg BI

Broker Hemant Kathuria in A.g.p. / Alliance Global Partners Firm Has Customer Complaint

April 25, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Hemant Kathuria (Kathuria), currently associated with A.g.p. / Alliance Global Partners, has at least one disclosable event. These events include one customer complaint, alleging that Kathuria 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 July 01, 2024.

Failure to disclose fees and risks associated with an alternative investment, from Dec 2020 through January 2021

Broker Jon Urbach in Fidelity Brokerage Services LLC Firm Has Customer Complaint

April 25, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jon Urbach (Urbach), currently associated with Fidelity Brokerage Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Urbach 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 $426,273.00 on July 02, 2024.

Customer alleged that the registered representative made improper referral to unaffiliated advisor.

Broker Glenn Cray in Moloney Securities Co., INC. Firm Has Customer Complaint

April 25, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Glenn Cray (Cray), currently associated with Moloney Securities Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Cray 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 $45,000.00 on June 27, 2024.

Suitability/negligence. 2017-2020

Broker David Perrotto in Cetera Advisors LLC Firm Has Customer Complaint

April 25, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on June 27, 2024.

Claimants allege unspecified investment recommendations which resulted in losses.

There are Recent Customer Complaints with Broker Michael Breard in Firm Cetera Advisor Networks LLC

April 25, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on July 02, 2024.

Customer alleges that investments made in 2014 and 2015 were unsuitable for the customer’s investment objectives and risk tolerance.

Broker Neil Barney in Allstate Financial Services, LLC Firm Has Customer Complaint

April 25, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Neil Barney (Barney), currently associated with Allstate Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Barney 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 $200,000.00 on June 26, 2024.

The representative recommended that she complete a partial transfer of company stock she held in her Company’s Profit Sharing Plan to an IRA brokerage account in 2021. However, the representative was unaware of the Net Unrealized Appreciation rule of the Internal Revenue Code. Because she made a partial transfer of the company stock from her PSP in 2021, and lost the advantages of the NUA rule, she missed out on tax advantages of over $200,000.

Broker Leonard Hirsh in Signature Estate Securities, LLC Firm Has Customer Complaint

April 25, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Leonard Hirsh (Hirsh), currently associated with Signature Estate Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hirsh 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 $600,000.00 on July 02, 2024.

Option trading strategies (collar and call writing) are alleged to been inappropriate and are alleged to have resulted in losses, notwithstanding the fact that any loss was offset by gain elsewhere in the client’s portfolio.

There are Recent Customer Complaints with Broker Zachary Anderson 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 Zachary Anderson (Anderson), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Anderson recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on July 02, 2024.

Time frame: 2021-2023\, Claimant alleges misrepresentation in the handling of options trading strategies for the claimant’s account, along with breach of fiduciary duty and negligence.

There are Recent Customer Complaints with Broker Michael Hoye in Firm Ausdal Financial Partners, INC.

April 25, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Hoye (Hoye), currently associated with Ausdal Financial Partners, INC., has at least one disclosable event. These events include one customer complaint, alleging that Hoye 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 $280,000.00 on July 02, 2024.

Violation of federal securities laws; violation of il consumber fraud and deceptive business practices act; violation of il securities law; breach of contract; common law fraud; breach of fiduciary duty; negligence and gross negligence.

Broker Roberto Leslie in Osaic Institutions, INC. Firm Has Customer Complaint

April 25, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Roberto Leslie (Leslie), currently associated with Osaic Institutions, INC., has at least one disclosable event. These events include one customer complaint, alleging that Leslie 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 $250,000.00 on June 27, 2024.

Failure to properly allocate and diversify claimants portfolio