Articles Posted in Reg BI

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Jacobi (Jacobi), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Jacobi 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 $30,000.00 on February 14, 2025.

Claimant alleges an unsuitable investment was recommended by Advisor.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jonathan Wade (Wade), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Wade 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 $413,500.80 on February 21, 2025.

Claimant alleges that in May 2022, the FA failed to follow instructions which resulted in unnecessary income taxes.

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

Claimants allege that respondent Paulson, acting through Nole, improperly recommended that Claimants invest monies in GWG Holdings, Inc., L Bonds.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Charles Weldon (Weldon), currently associated with Independent Financial Group, LLC, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Weldon recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

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

Claimants allege losses in their accounts.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Souza (Souza), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Souza 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 $1,167.07 on February 26, 2025.

Claimant alleges registered representative did not adequately disclose federal tax withholding consequences associated with the transition of an IRA to an advisory account.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Tiegs (Tiegs), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Tiegs 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 $10,000.00 on February 26, 2025.

The client alleges gains on exchanges were not offset by losses resulting in $10,000 additional taxes and impact to social security.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Victoria Pazzalia (Pazzalia), currently associated with Madison Avenue Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Pazzalia 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 $157,747.01 on February 21, 2025.

Unsuitable Investment in NP Skyloft.

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

FINRA BrokerCheck shows a pending customer complaint on February 26, 2025.

Claimant alleges that from 2021 through 2022, the registered rep was part of a team that made unsuitable investments and unauthorized trading which resulted in losses.

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

FINRA BrokerCheck shows a pending customer complaint on February 26, 2025.

Claimant alleges that from 2021 through 2022, the registered rep was part of a team that made unsuitable investments and unauthorized trading which resulted in losses.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stephen Marotto (Marotto), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Marotto 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 $200,000.00 on February 26, 2025.

Customers allege misrepresentation and unsuitable investment recommendation. Activity dates August 2021-May 2024.

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