Articles Posted in Reg BI

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Virginia Panjvani (Panjvani), currently associated with Stifel, Nicolaus & Company, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Panjvani 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 $84,522.88 on February 26, 2025.

Customer alleges registered representative’s lack of action to liquidate trust account assets on 2/24/2025 and 2/25/2025 resulted in losses.

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

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

Trustee alleges the client was misled when she purchased a variable universal life insurance policy in February 1999.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lanting Wei (Wei), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Wei 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 28, 2025.

Claimants allege unsuitable investment recommendations.

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

FINRA BrokerCheck shows a pending customer complaint on February 27, 2025.

Customer alleges that investments made in 2022 were unsuitable for the customer’s investment objectives and risk tolerance.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jamie Nowakowski (Nowakowski), previously associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Nowakowski 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 $190,000.00 on March 03, 2025.

The customer alleges unsuitable investments.

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

FINRA BrokerCheck shows a pending customer complaint on March 01, 2025.

The alleges unauthorized selling of GEV stock.

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

FINRA BrokerCheck shows a pending customer complaint on February 27, 2025.

Customer alleged identity theft and unauthentic signatures on account documentation.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andrew Roberson (Roberson), currently associated with Park Avenue Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Roberson 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 28, 2025.

Client alleges the RR encouraged him to invest $300,000 in a solar tax credit program called H2, which is not an approved product of the Firm. Client states he lost $191,000 in the investment.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Morrison (Morrison), currently associated with Lifemark Securities Corp., has at least one disclosable event. These events include one customer complaint, alleging that Morrison 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 March 03, 2025.

Allegations pertain to an investment in an alternative product intended to be a small component of a larger diversified portfolio. Investments were purchased from 11/2019 to 03/2020. Unfortunately, the company that issued the investment has since filed Chapter 11 bankruptcy. As a result, allegations include negligence, breach of fiduciary duty, and negligent supervision.

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

FINRA BrokerCheck shows a pending customer complaint on March 03, 2025.

Client alleges misrepresentation from 11/24/2024-2/27/2025.

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