Articles Posted in Reg BI

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Leonard Fox (Fox), previously associated with Fsc Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Fox 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 $1,000,000.00  on March 30, 2020.

It is alleged that advisor misled claimant about her investments and misappropriated the funds transferred to him.

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

FINRA BrokerCheck shows a settled customer complaint on April 01, 2020.

Customer alleges the Mainstay Mutual Fund account he opened in March 2020 was for the purpose of having funds deposited into a no risk account however his funds were instead deposited into an account that had risks tied to the stock market.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nancy Cheney (Cheney), previously associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Cheney 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 $61,211.00  on March 31, 2020.

Client alleges unauthorized trading regarding mutual fund investment. Activity dates 03/23/2020-03/23/2020.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joshua Ureke (Ureke), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Ureke 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 $20,000.00  on March 31, 2020.

The client alleges the financial advisor failed to follow instruction and move his account to cash before the account transferred out of the firm.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dustin Tuthill (Tuthill), previously associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Tuthill 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 $1,100.00  on March 31, 2020.

The complainant alleges that the rep forged his signature on an application for whole life insurance in 2019.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Vishnupriya Samudrala (Samudrala), previously associated with RBC Capital Markets, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Samudrala 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 $25,000.00  on April 01, 2020.

Client claimed that their financial advisor did not follow instructions to sell a mutual fund in a timely manner, within the dates period from 02/03/20 to 03/30/20.

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

FINRA BrokerCheck shows a settled customer complaint on March 31, 2020.

Customer alleges failure to follow instructions with respect to allocation of account. Activity dates 10/1/19 through 4/1/20

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Keith Tomer (Tomer), currently associated with Commonwealth Financial Network, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Tomer 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 $15,060.00  on April 02, 2020.

Executor feels unnecessary delays were made in liquidating the estate account which resulted in decreased value in the account at the time of liquidation in March 2020.

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

FINRA BrokerCheck shows a settled customer complaint on April 01, 2020.

Claimant alleges that in September 2018 advisor recommended an unsuitable investment in a structured note which the advisor then unilaterally sold in March 2020.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Larry Tarleton (Tarleton), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Tarleton 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 $22,749.00  on April 01, 2020.

Client complained that the financial advisor did not inform him of the trades he placed in the account. (3/23/2020)

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