Reg BI

There are Recent Customer Complaints with Broker Antonio Da Roza in Firm Merrill Lynch, Pierce, Fenner & Smith Incorporated

August 22, 2025 | by Staff Attorney

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

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

The Claimants alleges negligence, breach of fiduciary duty and failure to supervise from November 2020 to December 2022.

Broker Victor Sibilla in Westpark Capital, INC. Firm Has Customer Complaint

August 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Victor Sibilla (Sibilla), currently associated with Westpark Capital, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Sibilla 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 July 09, 2025.

Customer alleges professional negligence, failure to comply with Best Interest & Suitability, failure to supervise, breach of fiduciary duty, negligent misrepresentation, Arizona Securities Fraud, Arizona Control Person Liability, respondeat superior and breach of implied covenant of good faith and fair dealing as it relates to the handling of his account.

Broker Gregg Burrell in LPL Financial LLC Firm Has Customer Complaint

August 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gregg Burrell (Burrell), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Burrell 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 $160,000.00 on July 07, 2025.

Customers allege that an investment made in 1999 was unsuitable for the customers’ investment objectives and risk tolerance.

Broker Salvadore Salvo in Purshe Kaplan Sterling Investments Firm Has Customer Complaint

August 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Salvadore Salvo (Salvo), currently associated with Purshe Kaplan Sterling Investments, has at least one disclosable event. These events include one customer complaint, alleging that Salvo 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 $508,000.00 on July 02, 2025.

Client alleges that the custodian should have transferred all his existing positions in-kind to his new account and that he should have been notified of the positions that did not transfer in-kind sooner. Client alleges that as a result, the advisor team failed their fiduciary responsibilities by not knowing that all of his existing positions May not have been able to be transferred in kind.

Broker Matthew Rittenhouse in MML Investors Services, LLC Firm Has Customer Complaint

August 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Rittenhouse (Rittenhouse), currently associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Rittenhouse 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 $5,001.01 on July 15, 2025.

The complainants allege several violations beginning in/and around February 2021, that the registered representative engaged in pervasive and high-pressure advisory and investment sales practices, including misrepresentations and failure to provide material disclosures, to the Plan and its participants.

Broker Vincenzo Garganese in MML Investors Services, LLC Firm Has Customer Complaint

August 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Vincenzo Garganese (Garganese), currently associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Garganese 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 $5,001.00 on July 15, 2025.

The complainants allege several violations beginning in/and around February 2021, that the registered representative engaged in pervasive and high-pressure advisory and investment sales practices, including misrepresentations and failure to provide material disclosures, to the Plan and its participants.

Broker Lorraine Gallette in Moloney Securities Co., INC. Firm Has Customer Complaint

August 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lorraine Gallette (Gallette), previously associated with Moloney Securities Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Gallette 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 July 17, 2025.

The claimants allege unsuitable investments.

There are Recent Customer Complaints with Broker Ian Geeves in Firm Vanderbilt Securities, LLC

August 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ian Geeves (Geeves), previously associated with Vanderbilt Securities, LLC, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Geeves 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 $400,000.00 on July 15, 2025.

Customer alleges Advisor and Broker-Dealer/IA breached contract and covenant of good faith/fair dealing, breached fiduciary duty, and committed fraud while handling life insurance proceeds.

Broker Matthew Stucke in Cetera Wealth Services, LLC Firm Has Customer Complaint

August 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Stucke (Stucke), currently associated with Cetera Wealth Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Stucke 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 $400,000.00 on July 21, 2025.

Statement of Claim alleges the financial professional recommended unsuitable and risky investments resulting in substantial loss.

Broker Leroy Born in Wells Fargo Clearing Services, LLC Firm Has Customer Complaint

August 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Leroy Born (Born), previously associated with Wells Fargo Clearing Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Born recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on July 18, 2025.

The clients complained that they did not authorize an additional purchase of securities, and that the securities were too risky. The clients also complained that other securities recommended by the Financial Advisor did not meet their directive to invest in a “safe” investment. (09/05/2024 – 06/18/2025)