Reg BI

There are Recent Customer Complaints with Broker Kevin Mcbarron in Firm LPL Financial LLC

July 26, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on May 07, 2025.

Reg BI: Professional Negligence/Breach of Fiduciary Duty

There are Recent Customer Complaints with Broker Brian Marston in Firm Woodbury Financial Services, INC.

July 26, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Marston (Marston), previously associated with Woodbury Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Marston 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 $150,000.00 on May 05, 2025.

Unsuitable alternative investments are alleged to have been recommended.

Broker Michael Buric in Thrivent Investment Management INC. Firm Has Customer Complaint

July 25, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Buric (Buric), currently associated with Thrivent Investment Management INC., has at least one disclosable event. These events include one customer complaint, alleging that Buric 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 $5,275.47 on May 12, 2025.

Client alleged RR submitted a subaccount transfer without her permission in June 2022.

Broker Andrew Miles in Green Vista Capital, LLC Firm Has Customer Complaint

July 25, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andrew Miles (Miles), previously associated with Green Vista Capital, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Miles 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 $273,381.00 on May 12, 2025.

Claimants allege breach of fiduciary obligations/duties; breach of contract; Negligence/professional negligence; failure to conduct adequate due diligence; failure to supervise, and violations of both state and federal rules and regulations.

There are Recent Customer Complaints with Broker Cinthia Hoegemeyer in Firm Edward Jones

July 25, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Cinthia Hoegemeyer (Hoegemeyer), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Hoegemeyer 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 $27,773.00 on May 13, 2025.

Client alleges he instructed the branch to set a stop limit order at $105.00, and a limited order was placed, selling the stock at 107.99.

There are Recent Customer Complaints with Broker Dan Bello in Firm Morgan Stanley

July 25, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on May 12, 2025.

Client alleges, inter alia, that her advisor made unsuitable investment recommendations to invest in alternative investments and that her financial qualifications were falsified on her account in order for her to be approved to invest 2014-2017

There are Recent Customer Complaints with Broker Michaela Rauscher in Firm LPL Financial LLC

July 25, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michaela Rauscher (Rauscher), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Rauscher 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 $80,000.00 on May 13, 2025.

Customer alleges that an investment recommendation was unsuitable and misleading.

There are Recent Customer Complaints with Broker Michael Gennawey in Firm LPL Financial LLC

July 25, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Gennawey (Gennawey), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Gennawey 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 $33,856.70 on May 12, 2025.

Customer, through counsel, alleges no accounting provided for interest earned resulting in withheld interest and misrepresentation regarding brokerage and advisory commissions. Client alleges forgery of signature and discrepancies surrounding interest payments & fees. Activity dates: 10/10/2022-08/31/2023.

There are Recent Customer Complaints with Broker Matthew Klein in Firm the Leaders Group, INC.

July 25, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Klein (Klein), currently associated with the Leaders Group, INC., has at least one disclosable event. These events include one customer complaint, alleging that Klein 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 $110,000.00 on May 12, 2025.

Customer alleges RR Misrepresented liquidity and principal protection of securities purchased in 2012.

Broker Roberto Pineda Castellvi in Stonecrest Capital Markets, INC. Firm Has Customer Complaint

July 25, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on May 09, 2025.

Time frame: Unspecified Allegations: Claimant alleges that the recommendation to invest in and hold Puerto Rico closed-end funds was unsuitable and that his UBS account was over-concentrated in these investments. He also alleges that the risks of investing in and concentrating in PR investments were misrepresented.