Articles Posted in Reg BI

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nicholas Biddle (Biddle), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Biddle 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 $100,000.00 on February 04, 2025.

Registrant is alleged to have made unsuitable investment recommendations. Claimant alleges that losses resulted.

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

FINRA BrokerCheck shows a pending customer complaint on February 03, 2025.

Time Frame: May 1st, 2019 to January 31st, 2025\, What were the allegations against the individual? The client alleges that his Financial Advisors failed to follow his instructions by not investing funds received in the 529 plan. The client further alleges that his retirement money was not invested as per his instructions in years.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jerry Newman (Newman), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Newman 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 $18,701.18 on December 16, 2024.

The client alleges the FA failed to follow his instructions to invest deposited funds on 7/9/2024.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Terry Harris (Harris), previously associated with Money Concepts Capital CORP, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Harris 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 $31,000.00 on December 18, 2024.

Client attained an attorney to pursue a settlement instead of filing an arbitration claim. The firm determined the investment was suitable; however, made the decision to settle due to the cost of defense.

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

FINRA BrokerCheck shows a pending customer complaint on February 04, 2025.

Claimant alleges unsuitable investment recommendations which resulted in losses.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Harry Buckman (Buckman), currently associated with Buckman, Buckman & Reid, INC. / Mayhill Agency, LLC, 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 December 24, 2024.

Excessive Trading 2017 – 2024

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

FINRA BrokerCheck shows a pending customer complaint on February 03, 2025.

The complainant alleges that in 2024, the rep was involved in a matter were a mutual fund was sold without the complainant’s authorization and the proceeds were used to purchase a different mutual fund.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Scott Morrison (Morrison), previously associated with Stillpoint Capital, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Morrison 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 January 09, 2025.

Customer alleges misuse of power of attorney to sell/manage client/operate fund assets, embezzling and misuse of customer assets, charging of unauthorized fees, breach of contract, and negligence.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joshua Thalacker (Thalacker), currently associated with Northwestern Mutual Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Thalacker 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 $20,000.00 on February 13, 2025.

Customer alleges that representative misrepresented the features of the variable universal life insurance policy and the policy was sold as a solution for retirement planning

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

FINRA BrokerCheck shows a pending customer complaint on February 13, 2025.

The client alleges unauthorized trades resulting in tax consequences.

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