Reg BI

Broker Samuel Bernard in LPL Financial LLC Firm Has Customer Complaint

April 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Samuel Bernard (Bernard), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bernard 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 $36,000.00 on February 14, 2025.

Customer alleges that the terms of a CD were misrepresented when sold to him in 2017.

Broker Fred Fryer in Raymond James Financial Services, INC. Firm Has Customer Complaint

April 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Fred Fryer (Fryer), currently associated with Raymond James Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Fryer 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 $55,423.00 on February 13, 2025.

Client alleged advisor gave incorrect advice regarding IRA rollover rules resulting in a tax implication. Allegation Activity Dates: 7/01/2024 – 9/10/2024.

There are Recent Customer Complaints with Broker William Tenpenny in Firm Edward Jones

April 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Tenpenny (Tenpenny), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Tenpenny 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 $1,750,000.00 on February 10, 2025.

Attorney for client alleges a real estate transaction between client and financial advisor amounted to a fraudulent transaction, alleging the financial advisor induced the client to sell the property for a price below fair market value

There are Recent Customer Complaints with Broker Chad Noble in Firm Ameriprise Financial Services, LLC

April 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Chad Noble (Noble), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Noble 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 $90,000.00 on February 07, 2025.

Claimant alleges overconcentration and unsuitable investment in alternative investments.

There are Recent Customer Complaints with Broker Peter Gobis in Firm Edward Jones

April 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Peter Gobis (Gobis), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Gobis 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 $108,000.00 on February 10, 2025.

The client alleges the financial advisor misrepresented the Protective VUL policy stating her obligation was complete with paying the initial premium to fund the policy.

Broker Eric Singer in UBS Financial Services INC. Firm Has Customer Complaint

April 17, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on February 06, 2025.

Time Frame: December 1st. 2017 to September 12th, 2023\, What were the allegations against the individual – The client, through counsel, alleges the financial advisor failed to make sure the account was properly funded to meet the minimum funding standards set forth in the internal revenue code. The client further alleges that the financial advisor did not disclose that the RAM CBP was underfunded when he provided advice to transfer funds from the client’s 401K to the RAM CBP.

There are Recent Customer Complaints with Broker Rafael Williamson in Firm UBS Financial Services INC.

April 17, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on February 06, 2025.

Time Frame: December 1st, 2022 to July 31st, 2024\, What were the allegations against the individual – The client alleges they were placed in unsuitable investments based on their age and investment knowledge and the investments were misrepresented.

Broker Joseph Lauzon in LPL Financial LLC Firm Has Customer Complaint

April 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Lauzon (Lauzon), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lauzon 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 $538,250.00 on February 12, 2025.

Brother alleges advisor, who is his brother, fraudently transferred funds from their father’s IRA account.\, 11/17/24 – 12/12/25

There are Recent Customer Complaints with Broker Sharon Pensabene in Firm Nylife Securities LLC

April 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sharon Pensabene (Pensabene), previously associated with Nylife Securities LLC, has at least 5 disclosable events. These events include 5 customer complaints, alleging that Pensabene recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on February 10, 2025.

Customers allege that several forms on their life insurance policies related to dividend withdrawal, policy loans, and payment preferences contain signatures that are not theirs, therefore they have requested a review of these forms.

There are Recent Customer Complaints with Broker Patrick Buttarazzi in Firm Wells Fargo Clearing Services, LLC

April 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Patrick Buttarazzi (Buttarazzi), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Buttarazzi 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.

Client complains that Financial Advisor assured them their annuity contract would provide a guaranteed monthly income; however the contract was terminated. Client demands the reinstatement of the contract and re-implementation of monthly income payment. (1/1/2025-2/13/2025)