Reg BI

Broker Paul Mauro in Osaic Wealth, INC. Firm Has Customer Complaint

September 15, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Paul Mauro (Mauro), previously associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Mauro 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 $5,000.00 on March 16, 2023.

Client alleges that variable and fixed index annuities purchased in May – June 2022 were misrepresented and unsuitable.

Broker Aaron Graham in United Planners’ Financial Services of America A Limited Partner Firm Has Customer Complaint

September 14, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Aaron Graham (Graham), currently associated with United Planners’ Financial Services of America A Limited Partner, has at least one disclosable event. These events include one customer complaint, alleging that Graham recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on March 27, 2023.

Violations of the Utah Securities Act, fraud, breach of fiduciary duty, professional negligence, unsuitability, violation of FINRA Code of Conduct, and breach of advisory and brokerage agreements.

There are Recent Customer Complaints with Broker Donald Osten in Firm Edward Jones

September 14, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Donald Osten (Osten), previously associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Osten 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 $400,000.00 on March 28, 2023.

Claimant alleges that from 2019 to 2021, Defendants did not take adequate steps to stop transfers authorized by Claimant to an online scammer.

Broker Richard Rodriguez in Calton & Associates, INC. Firm Has Customer Complaint

September 14, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Rodriguez (Rodriguez), previously associated with Calton & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Rodriguez 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 $40,000.00 on March 27, 2023.

Claim alleges breach of fiduciary duty, violation of FINRA and NASD rules, breach of contract, and negligence relating to investment made in July of 2016.

Broker Nancy Cole in Western International Securities, INC. Firm Has Customer Complaint

September 14, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nancy Cole (Cole), previously associated with Western International Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Cole 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 $5,000.00 on March 23, 2023.

Negligent Misrepresentation

Broker David Eustis Jr. in UBS Financial Services INC. Firm Has Customer Complaint

September 14, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Eustis Jr. (Eustis Jr.), previously associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Eustis Jr. 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 $4,000,000.00 on March 23, 2023.

This case involves an investment relating to the purchase and resale of two Solar Centaur 50 Turbine Generator Sets (Gen-Sets) that failed to meet the investor’s expectations. Plaintiff [REDACTED] is an individual investor who resides in Texas. ECF 1-4 ,r,r 3, 10. Defendant Industrial Motor Power Corporation (IMPC) is a broker and wholesaler of power\\u00b7 generator sets and other equipment that is organized under the laws of California and has its principal place of business in California.

There are Recent Customer Complaints with Broker Jeff Wiley in Firm Morgan Stanley

September 14, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 21, 2023.

CLIENT VERBALLY ALLEGED THAT HE DID NOT GIVE AUTHORIZATION TO PURCHASE THE SECURITIES IN THE ACCOUNT. THE MATTER WAS SETTLED FOR $35,000.00- April 2021-June 2021

There are Recent Customer Complaints with Broker Michael Gustafson in Firm Osaic Wealth, INC.

September 14, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Gustafson (Gustafson), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Gustafson 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 $120,000.00 on March 21, 2023.

Claimant alleges unsuitable recommendations related to the sale of alternative investments.

Broker Christopher Mccarthy in Nylife Securities LLC Firm Has Customer Complaint

September 14, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Mccarthy (Mccarthy), currently associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mccarthy 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 $5,421.28 on March 28, 2023.

The policyowner alleges that the RR did not fully inform her of the product features and charges associated with variable annuity policies purchased in December 2022 and February 2023, respectively, and that the policies do not suit her needs. The policyowner has requested to terminate the variable annuity policies with no surrender charges or costs.

There are Recent Customer Complaints with Broker Bruce Ellison in Firm Securian Financial Services, INC.

September 14, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bruce Ellison (Ellison), previously associated with Securian Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Ellison 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 $30,000.00 on March 21, 2023.

An Equitable annuity was liquidated on 10/24/2021 at the recommendation of the representative. Representative failed to check on the gain in the annuity and the liquidation resulted in an unintended taxable event.