Reg BI

There are Recent Customer Complaints with Broker David Wampler in Firm Moloney Securities Co., INC.

April 14, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Wampler (Wampler), currently associated with Moloney Securities Co., INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Wampler 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 $272,450.00 on March 04, 2025.

Suitability/negligence. 2012

Broker Lorri Gillock Cordelli in Raymond James & Associates, INC. Firm Has Customer Complaint

April 14, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lorri Gillock Cordelli (Gillock Cordelli), currently associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Gillock Cordelli 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 $485,000.00 on March 04, 2025.

Claimant alleges his mother was a client of FA and that FA and FA’s spouse were improper beneficiaries of Claimant’s mother’s trust.

Broker Mark Joffrion in UBS Financial Services INC. Firm Has Customer Complaint

April 14, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Joffrion (Joffrion), previously associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Joffrion 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 $15,202.35 on February 27, 2025.

Time Frame: January 3rd, 2023 to January 13th, 2025\, What were the allegations against the individual – The client alleges his Financial Advisor provided unsuitable investment advice and misrepresented the tax ramification of the investments.

There are Recent Customer Complaints with Broker Gregory Geller in Firm UBS Financial Services INC.

April 14, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gregory Geller (Geller), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Geller 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 $288,000.00 on March 05, 2025.

Time frame: 2021-2023 \, Allegations: Claimants allege that they were not informed and there was a failure to disclose that First Republic had suspended dividends on its common and preferred stocks in early 2023. Claimants further allege the yields on US Treasuries that they purchased were misrepresented.

There are Recent Customer Complaints with Broker Kevin Mcdougall in Firm Thurston Springer Financial

April 14, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on February 28, 2025.

Breached the terms and conditions and its agreements with clients. Violates federal and state securities statutes. Violation of fiduciary duties. Is liable for the intentional and negligible misrepresentation of material facts.

Broker Russell Rabito in UBS Financial Services INC. Firm Has Customer Complaint

April 14, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on March 05, 2025.

Time frame: 2017-2024 \, Allegations: Claimant’s counsel alleges unsuitability and misrepresentation with respect to recommendations to invest in and hold an options overlay strategy.

Broker Raymond Lent in Arete Wealth Management, LLC Firm Has Customer Complaint

April 14, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Raymond Lent (Lent), currently associated with Arete Wealth Management, LLC, has at least 3 disclosable events. These events include 2 customer complaints, one regulatory event, alleging that Lent recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on February 28, 2025.

Client alleges registered representative sold an unsuitable investment.

Broker Marcus Mullen in Northwestern Mutual Investment Services, LLC Firm Has Customer Complaint

April 13, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Marcus Mullen (Mullen), currently associated with Northwestern Mutual Investment Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Mullen 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 $33,840.00 on March 06, 2025.

Customers allege that in or around April 2023, in the course of their purchasing two variable universal life insurance policies from the Representative and another representative, misrepresentations were made regarding the costs associated with the policies.

Broker Peter Chow in Cetera Investment Services LLC Firm Has Customer Complaint

April 13, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on March 05, 2025.

Claimant alleges unsuitable investment recommendations.

There are Recent Customer Complaints with Broker Hui Zhang in Firm Independent Financial Group, LLC

April 13, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on March 05, 2025.

Claimants allege unsuitable investment recommendations