Reg BI

Broker Jeffrey K. Johnson in UBS Financial Services INC. Firm Has Customer Complaint

April 21, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on July 25, 2024.

Time Frame: July 19th 2024 – July 24th 2024\, What were the allegations against the individual? The client alleges that his instructions to sell down his equity positions in his account was not done.

Broker Brian Lesley in LPL Financial LLC Firm Has Customer Complaint

April 21, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on July 22, 2024.

Customer alleges representative did not act in their best interest when representative used discretion to sell equities in the account in July 2021.

Broker Eyal Farag in Aegis Capital Corp. Firm Has Customer Complaint

April 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eyal Farag (Farag), previously associated with Aegis Capital Corp., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Farag recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on July 24, 2024.

Time frame: Unspecified. Claimant alleges unsuitable investments and breach of fiduciary duty

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

April 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Buonanno (Buonanno), currently associated with Cetera Advisor Networks LLC, has at least one disclosable event. These events include one customer complaint, alleging that Buonanno 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 July 24, 2024.

Claimant alleges they were recommended unsuitable investments.

Broker Christopher Brothers in Maxim Group LLC Firm Has Customer Complaint

April 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Brothers (Brothers), currently associated with Maxim Group LLC, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Brothers 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 July 23, 2024.

The customer alleges that due to alleged misrepresentations and breaches of fiduciary duties he and his limited liability company incurred losses in excess of $1,000,000.

There are Recent Customer Complaints with Broker Samuel Starr in Firm Wells Fargo Clearing Services, LLC

April 21, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on July 22, 2024.

Customer complained that the financial advisor did not discuss fees, commissions and penalties when recommending the purchase of the investment. (11/10/2021)

Broker Eugene Webb in Paulson Investment Company LLC Firm Has Customer Complaint

April 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eugene Webb (Webb), currently associated with Paulson Investment Company LLC, has at least one disclosable event. These events include one customer complaint, alleging that Webb 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 $5,000.00 on July 23, 2024.

Mr. Maring alleges that Mr. Webb made unsuitable recommendations. Mr. Maring further alleges that Mr. Webb made unauthorized purchases.

There are Recent Customer Complaints with Broker Robert Hiss in Firm Ifp Securities, LLC

April 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Hiss (Hiss), currently associated with Ifp Securities, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Hiss 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 $209,591.11 on July 26, 2024.

Client alleges Mr. Hiss improperly recommended that claimant invest in a high-risk, high commission illiquid alternative investment, namely GWG Holdings, Inc., L Bonds . Hiss, falsely represented, among other things, that GWG was a safe investment backed by life insurance policies.

Broker Donald Heaney in Ameriprise Financial Services, LLC Firm Has Customer Complaint

April 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Donald Heaney (Heaney), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Heaney 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 $7,000.00 on July 25, 2024.

The client alleged his advisor placed trades without his authorization in October of 2022.

Broker Francis Burke in M Holdings Securities, INC. Firm Has Customer Complaint

April 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Francis Burke (Burke), currently associated with M Holdings Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Burke 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 $98,364.14 on July 25, 2024.

A representative at the firm supervised by Francis Burke provided incorrect illustrations to the clients at the time of sale in September 2023 resulting in distributions that were lower than intended. The error was discovered by the firm and disclosed to the client and it was handled through errors and omissions insurance and the clients were made whole. The resulting release agreement named Francis Burke as allegedly providing incorrect illustrations despite having no contact with the clients and not being listed on the policies.