Reg BI

There are Recent Customer Complaints with Broker Timothy Cleveland in Firm Lasalle St Securities, L.l.c.

April 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Timothy Cleveland (Cleveland), currently associated with Lasalle St Securities, L.l.c., has at least one disclosable event. These events include one customer complaint, alleging that Cleveland 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 August 23, 2024.

The customer alleged the financial advisor, Mr. Cleveland, took two unauthorized withdrawals totaling $25,000 from her account through margin and placed the funds in an office payroll account. At the time the withdrawals were made, the customer was a financial advisor and partner of Mr. Cleveland. She alleged that she had approved prior loans from her account to the office payroll account but did not approve the two journals at issue.

There are Recent Customer Complaints with Broker Brian Nelson in Firm Emerson Equity LLC

April 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Nelson (Nelson), currently associated with Emerson Equity LLC, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Nelson recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

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

Unsuitable, breach of fiduciary duty, common law fraud, breach of contract

There are Recent Customer Complaints with Broker Mark Cohen in Firm Bcg Securities, INC.

April 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Cohen (Cohen), previously associated with Bcg Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Cohen 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 $125,000.00 on August 09, 2024.

Customer alleges unsuitable sale of investment due to improper due diligence.

There are Recent Customer Complaints with Broker Tony Wang in Firm Merrill Lynch, Pierce, Fenner & Smith Incorporated

April 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Tony Wang (Wang), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Wang recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on July 30, 2024.

Customer alleges misrepresentation of managed account fees from 2018 to 2024

There are Recent Customer Complaints with Broker Mark Williams in Firm Kingswood Capital Partners, LLC

April 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Williams (Williams), previously associated with Kingswood Capital Partners, LLC, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Williams 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 $546,000.00 on July 26, 2024.

The customers allege that during the period of early 2019 through February 2021, the Registered Representative withheld material facts and recommended unsuitable, high-risk, speculative, illiquid investments and breached his fiduciary duty.

Broker Victor Raigoza in LPL Financial LLC Firm Has Customer Complaint

April 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Victor Raigoza (Raigoza), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Raigoza 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 $45,000.00 on July 30, 2024.

Claimants allege they suffered losses due to representative’s choice of investments that allegedly underperformed. Time period September 2020 to March 2024.

Broker Shawn Spellacy in San Blas Securities LLC Firm Has Customer Complaint

April 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Shawn Spellacy (Spellacy), currently associated with San Blas Securities LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Spellacy 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 30, 2024.

Unsuitable recommendation, misrepresentation and concentration.

There are Recent Customer Complaints with Broker Ramon Haile in Firm Avantax Investment Services, INC.

April 20, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on July 26, 2024.

Customer alleged in 2015 the representative recommended an unsuitable investment.

There are Recent Customer Complaints with Broker Patricia Fleming in Firm LPL Financial LLC

April 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Patricia Fleming (Fleming), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Fleming 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 30, 2024.

Client alleges that certain mutual funds and ETFs purchased for his managed portfolio were not suitable the client. Time period: 2019-2024.

Broker Harry Buckman in Buckman, Buckman & Reid, INC. Firm Has Customer Complaint

April 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Harry Buckman (Buckman), currently associated with Buckman, Buckman & Reid, INC., has at least one disclosable event. These events include one customer complaint, alleging that Buckman 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 $2,250,000.00 on August 23, 2024.

Failure to supervise