Reg BI

There are Recent Customer Complaints with Broker Matt Heintz in Firm Pnc Investments

April 16, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matt Heintz (Heintz), currently associated with Pnc Investments, has at least one disclosable event. These events include one customer complaint, alleging that Heintz 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 $13,627.00 on February 19, 2025.

Customer alleges advisor did not provide correct advice regarding qualified chartable distributions.

There are Recent Customer Complaints with Broker Robert Morgan in Firm Wells Fargo Clearing Services, LLC

April 16, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on February 17, 2025.

Plaintiffs allege that from 2022-2023, the FA failed to protect the Plaintiff by permitting the withdrawal of funds without determining why the funds were being withdrawn or if the Plaintiff was competent or acting under duress.

There are Recent Customer Complaints with Broker William Tremont in Firm RBC Capital Markets, LLC

April 16, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on February 20, 2025.

The client alleged the financial advisor modified his accounts without his knowledge or approval.

There are Recent Customer Complaints with Broker John Russo in Firm Dominari Securities LLC

April 16, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on February 20, 2025.

Time Frame: Unspecified. Claimant alleges unsuitable investments.

There are Recent Customer Complaints with Broker Ryan Mcclelland in Firm J.w. Cole Financial, INC.

April 16, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ryan Mcclelland (Mcclelland), currently associated with J.w. Cole Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Mcclelland 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 $50,000.00 on February 19, 2025.

Customer alleged that the investment advisor representative did not execute a trade and as a result the customer was unable to participate in market gains.

Broker James Mariani in Aegis Capital Corp. Firm Has Customer Complaint

April 16, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Mariani (Mariani), previously associated with Aegis Capital Corp., has at least one disclosable event. These events include one customer complaint, alleging that Mariani 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 $300,000.00 on February 21, 2025.

Time frame: July 2014 – September 2021. Claimant alleges misrepresentation and unsuitable investment.

There are Recent Customer Complaints with Broker Michael Collins in Firm Kingsbury Capital, INC.

April 16, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Collins (Collins), previously associated with Kingsbury Capital, INC., has at least one disclosable event. These events include one customer complaint, alleging that Collins 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 18, 2025.

Client alleges overconcentration of equity position in November 2024. The alleged compensatory amount is in excess of the entire account value during any time at Kingsbury Capital Investment Advisors.

There are Recent Customer Complaints with Broker Michael Maglio in Firm LPL Financial LLC

April 16, 2025 | by Staff Attorney

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

There is a good faith estimate that the requested damages are more than $5000 as the requested resolution is to exchange an annuity worth more than $500,000 without penalties.

Broker Kelly Dale in American Capital Partners, LLC Firm Has Customer Complaint

April 16, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kelly Dale (Dale), currently associated with American Capital Partners, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Dale 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 $50,000.00 on February 14, 2025.

Customer stated he recieved no e-mails, phone calls, letters, or documents sent from American Capital Partners and was improperly informed by American Capital Partners that IPO stock known as “Impossible Foods” was not salable until it went public.

There are Recent Customer Complaints with Broker Kevin Kelly in Firm Avantax Investment Services, INC.

April 16, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Kelly (Kelly), currently associated with Avantax Investment Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Kelly 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 $52,500.00 on February 20, 2025.

Suitability of purchase 11/2014