Reg BI

There are Recent Customer Complaints with Broker Tracy Longstreet in Firm UBS Financial Services Inc.

March 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Tracy Longstreet (Longstreet), previously associated with UBS Financial Services Inc., has at least 2 disclosable events. These events include one customer complaint, one regulatory, alleging that Longstreet recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on September 11, 2024.

Without admitting or denying the findings, Longstreet consented to the sanction and to the entry of findings that she refused to provide documents and information requested by FINRA in connection with its investigation initiated based upon an arbitration filing. The findings stated that the Longstreet’s former member firm submitted an amended Form U5 disclosing that a customer had filed an arbitration against it alleging misconduct involving his accounts and that his Individual Retirement Account (IRA) beneficiaries were improperly changed to personally benefit Longstreet’s family and/or friends.

Broker Peter Goffin in Newbridge Securities Corporation Firm Has Customer Complaint

March 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Peter Goffin (Goffin), previously associated with Newbridge Securities Corporation, has at least 6 disclosable events. These events include 6 customer complaints, alleging that Goffin 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 $100,000.00 on September 11, 2024.

BREACH OF CONTRACT, BREACH OF FIDUCIARY DUTY, FAILURE TO SUPERVISE AND NEGLIGENCE, VIOLATION OF REG BI.

There are Recent Customer Complaints with Broker Douglas Dulac in Firm United Planners’ Financial Services of America A Limited Partner

March 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Douglas Dulac (Dulac), 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 Dulac 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 $215,000.00 on September 10, 2024.

Breach of fiduciary duty, suitability and breach of contract.

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

March 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Carl Gill (Gill), previously associated with United Planners’ Financial Services of America A Limited Partner, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Gill 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 $215,000.00 on September 10, 2024.

Breach of fiduciary duty, suitability and breach of contract.

Broker Jeremy Slone in Mwa Financial Services Inc. Firm Has Customer Complaint

March 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeremy Slone (Slone), currently associated with Mwa Financial Services Inc., has at least one disclosable event. These events include one customer complaint, alleging that Slone 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 $34,000.00 on September 16, 2024.

Consumer alleges they and their spouse purchased a life insurance policy in 1988. Consumer alleges in the following years they were told the annual premium for the life insurance would be paid from the cash value of the insurance policy, so consumer assumed they did not need to make additional premium payments. The consumer stopped making additional premium payments in or around 1994. Consumer’s spouse passed away in August 2023. Upon calling to make a claim, consumer alleges they found out the policy had been cancelled for failing to pay premiums. Consumer alleges they were not notified of the policy’s cancellation. Consumer is alleging breach of contract, common law bad faith, statutory bad faith, engaging in unfair trade practices, negligence and fraud through statements and assertions.

Broker Bowman Nicholson in Capital Investment Group, Inc. Firm Has Customer Complaint

March 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bowman Nicholson (Nicholson), currently associated with Capital Investment Group, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Nicholson 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 September 12, 2024.

GWG Holdings, Inc. filed Chapter 11 bankruptcy on April 20, 2022. Complaint alleges breach of contract and warranties, violation of state securities statutes, breach of fiduciary duty, claims under common law, and vicarious liability related to an investment in GWG L-Bonds.

Broker Jeremy Maurer in Wells Fargo Clearing Services, LLC Firm Has Customer Complaint

March 20, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on September 13, 2024.

Claimant alleges that around May 2021, the FA recommended an unsuitable investment.

Broker Pragnesh Bhatt in Nylife Securities LLC Firm Has Customer Complaint

March 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Pragnesh Bhatt (Bhatt), currently associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bhatt 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 $615,240.83 on September 16, 2024.

The Customer alleges he was misled when he purchased a variable annuity in June 2021 and that his request to reallocate the subaccounts was not followed. The Customer has requested the return of his investment, fees, and lost opportunity for a total of $615,240.83

There are Recent Customer Complaints with Broker Cynthia Giovacchino in Firm Osaic Institutions, Inc.

March 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Cynthia Giovacchino (Giovacchino), currently associated with Osaic Institutions, Inc., has at least 10 disclosable events. These events include 10 customer complaints, alleging that Giovacchino 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 $55,000.00 on September 12, 2024.

Customer alleges that in May 2012 and December 2014 the representative recommended an investments in two real estate investment trusts that were unsuitable for the customer’s investment profile and risk tolerance.

There are Recent Customer Complaints with Broker Christopher Duffy in Firm Morgan Stanley

March 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Duffy (Duffy), currently associated with Morgan Stanley, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Duffy recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on September 12, 2024.

Claimants alleged, inter alia, that investment strategy implemented in their accounts was not in their best interests 2021-2023