Reg BI

Broker Mark Gassoso in Arete Wealth Management, LLC Firm Has Customer Complaint

April 24, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Gassoso (Gassoso), currently associated with Arete Wealth Management, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Gassoso 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 $500,000.00 on July 03, 2024.

Claimant alleges RR made unsuitable recommendations and mismanaged Claimant’s assets

Broker Derrick Watts in Packerland Brokerage Services, INC. Firm Has Customer Complaint

April 24, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Derrick Watts (Watts), currently associated with Packerland Brokerage Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Watts 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 $3,000,000.00 on July 03, 2024.

Alleges RR’s proposal to Claimants to purchase Bet Chicago securities was misleading, inaccurate, and false based on its valuation

Broker Chadwick Bridgers in Cabot Lodge Securities LLC Firm Has Customer Complaint

April 24, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Chadwick Bridgers (Bridgers), currently associated with Cabot Lodge Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bridgers 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 $400,000.00 on July 08, 2024.

Claimant alleges breaches of fiduciary duty, negligence, duty to supervise, Regulation Best Interest, violations of various FINRA Rules, regarding the purchase of GWG L-bonds during March 2021.

There are Recent Customer Complaints with Broker Donald Peabody in Firm Osaic Wealth, INC.

April 24, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Donald Peabody (Peabody), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Peabody 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 $500,000.00 on July 02, 2024.

Per UMPQUA Investments, Inc. filing, claimant alleges Peabody made unsuitable investment recommendations concerning a real estate investment.

Broker Reginald Robinson in Corinthian Partners, L.l.c. Firm Has Customer Complaint

April 24, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Reginald Robinson (Robinson), previously associated with Corinthian Partners, L.l.c., has at least one disclosable event. These events include one customer complaint, alleging that Robinson 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 $100,001.00 on July 08, 2024.

Violations of federal securities laws; breach of contract; common law fraud; breach of fiduciary duty; Negligence and gross negligence;

There are Recent Customer Complaints with Broker Kenneth Wright in Firm Osaic Institutions, INC.

April 24, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kenneth Wright (Wright), currently associated with Osaic Institutions, INC., has at least one disclosable event. These events include one customer complaint, alleging that Wright 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 an investment made in 2014 was unsuitable for the customer’s investment objectives and risk tolerance.

Broker Michael Brinton in Zermatt Securities, INC. Firm Has Customer Complaint

April 24, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Brinton (Brinton), previously associated with Zermatt Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Brinton 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 $1,200,000.00 on July 03, 2024.

Former customer alleges breach of fiduciary duty in connection with the management of advisory assets between July 2021 to February 2022.

There are Recent Customer Complaints with Broker Richard Calabrese in Firm Corinthian Partners, L.l.c.

April 24, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Calabrese (Calabrese), currently associated with Corinthian Partners, L.l.c., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Calabrese 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 $100,001.00 on July 08, 2024.

Violations of federal securities laws; breach of contract; common law fraud; breach of fiduciary duty; Negligence and gross negligence;

Broker Larry Hancock in Purshe Kaplan Sterling Investments Firm Has Customer Complaint

April 24, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on July 03, 2024.

Client alleges lack of service, guidance, and unsuitable investments in several REITS that Mr. Hancock purchased and were done through his RIA: Proactive Retirement Solutions and were held at his RIA custodian: Schwab.

There are Recent Customer Complaints with Broker Christopher Tully in Firm Oppenheimer & CO. INC.

April 24, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Tully (Tully), currently associated with Oppenheimer & CO. INC., has at least one disclosable event. These events include one customer complaint, alleging that Tully 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.

Claimant asserts claims of fraud, negligence, breach of contract, breach of fiduciary duty, negligent supervision, violation of Sections 10(b) and 20(a) of the Securities Exchange Act and FINRA Rule 2020, and respondeat\, superior/vicarious liability relating to an alleged improper account opening. From 6/1/2017 to 2/1/2019.