Reg BI

There are Recent Customer Complaints with Broker Barbaraann Bernatzky in Firm Henley & Company LLC

November 18, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Barbaraann Bernatzky (Bernatzky), previously associated with Henley & Company LLC, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Bernatzky recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on May 23, 2022.

Without admitting or denying the findings, Bernatzky consented to the sanction and to the entry of findings that she refused to appear for on-the-record testimony requested by FINRA in connection with its investigation regarding potential misconduct that occurred her member firm’s branch office.

Broker Jeffrey Kantar in Northwestern Mutual Investment Services, LLC Firm Has Customer Complaint

November 18, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Kantar (Kantar), currently associated with Northwestern Mutual Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kantar 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 $5,000.00 on May 27, 2022.

Customers alleged misrepresentation of their variable income payment plan contracts.

Broker Patricia Mcginley in Morgan Stanley Firm Has Customer Complaint

November 18, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Patricia Mcginley (Mcginley), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Mcginley 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 $94,978.00 on May 20, 2022.

CLIENT ALLEGES, INTER ALIA, MISREPRESENTATION WITH RESPECT TO PURCHASE OF CLOSED END FUNDS 2021

Broker Anthony Dibernardo in Hornor, Townsend & Kent, INC. Firm Has Customer Complaint

November 18, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Anthony Dibernardo (Dibernardo), previously associated with Hornor, Townsend & Kent, INC., has at least one disclosable event. These events include one customer complaint, alleging that Dibernardo 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 $70,000.00 on May 24, 2022.

Negligence, misrepresentation, misguided information and lack of advice provided which placed client in a compromising situation.

Broker John Lentz in Morgan Stanley Firm Has Customer Complaint

November 18, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on May 25, 2022.

CLIENT ALLEGES PURCHASES OF TWO MUTUAL FUNDS WERE UNSUITABLE 2021 DAMAGES UNSPECIFIED

There are Recent Customer Complaints with Broker Dawn Nelson in Firm Edward Jones

November 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dawn Nelson (Nelson), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Nelson 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 $52,000.00 on May 31, 2022.

The client alleges the financial advisor did not inform her of the potential tax implications of transferring funds to her Edward Jones account. The clients allege the financial advisor’s recommendation to transfer the funds to the Edward Jones account, and the subsequent liquidation of Ameritrade assets and purchase of new assets in the Edward Jones account were not in her best interests. The clients allege the financial advisor and Edward Jones failed to follow instructions to minimize tax implications.

Broker Xinxin Lu in Transamerica Financial Advisors, Inc Firm Has Customer Complaint

November 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Xinxin Lu (Lu), previously associated with Transamerica Financial Advisors, Inc, has at least one disclosable event. These events include one customer complaint, alleging that Lu 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 May 27, 2022.

CLAIMANTS ALLEGE THEY WERE OVERCONCENTRATED IN UNSUITABLE OFF-SHORE INVESTMENTS THAT RESULTED IN LOSSES.

Broker Janice Reid in Nylife Securities LLC Firm Has Customer Complaint

November 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Janice Reid (Reid), currently associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Reid 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 $11,070.51 on June 06, 2022.

Customer alleges that his Variable Annuity was not surrendered in a timely manner and he was misled regarding the surrender value of his annuity. The annuity was purchased on September 16, 2021.

There are Recent Customer Complaints with Broker Carlos Fuhrmeister in Firm Citigroup Global Markets INC.

November 17, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on June 01, 2022.

CLIENT STATED THAT FROM THE BEGINNING OF HER ACCOUNT RELATIONSHIP, IT WAS AGREED THAT HER PORTFOLIO WOULD BE CONSERVATIVE, AND HER INVESTMENT OBJECTIVE “INCOME.” CLIENT ALLEGED HER PORTFOLIO IS AGGRESSIVE AND IS CLEARLY OUTSIDE HER AGREED UPON PROFILE, AND THIS CAUSED HER UNACCEPTABLE LOSSES. CLIENT DEMANDED COMPENSATION. OCCURRENCE DATES: 5/15/2015 – 5/21/2022. LOSSES: UNSPECIFIED.

Broker Kathy Moritz in Nylife Securities LLC Firm Has Customer Complaint

November 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kathy Moritz (Moritz), currently associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Moritz 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 $62,617.98 on June 02, 2022.

The customer expressed concerns regarding the rollover of her 403b funds into a qualified fixed annuity in April 2021. The customer alleged she was advised the rollover of her 403b funds would be into a traditional IRA and that she had no knowledge of an annuity product. She alleged she was unaware she could not allocate funds as desired and the policy had liquidity limitations and could not be surrendered. The customer requested that her premium be returned in full.