Reg BI

Broker Richard Ceffalio in LPL Financial LLC Firm Has Customer Complaint

March 18, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Ceffalio (Ceffalio), previously associated with LPL Financial LLC, has at least 4 disclosable events. These events include 4 customer complaints, alleging that Ceffalio recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on September 23, 2024.

Customers allege that between 2012 and 2023 Ceffalio managed their accounts in an unsuitable manner and misrepresented the total value of claimants’ accounts.

There are Recent Customer Complaints with Broker Jason Lowther in Firm Concorde Investment Services, LLC

March 18, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jason Lowther (Lowther), currently associated with Concorde Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lowther 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 $125,000.00 on September 19, 2024.

Client alleges that investment recommendation was unsuitable and misleading.

There are Recent Customer Complaints with Broker Stephen Fortin in Firm Cambridge Investment Research, Inc.

March 18, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stephen Fortin (Fortin), currently associated with Cambridge Investment Research, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Fortin 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 $70,000.00 on September 20, 2024.

Claimant alleges the RR recommended an unsuitable Oil & Gas investment.

Broker Robert Leverte in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

March 18, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on September 20, 2024.

Client alleges unsuitable investment advice and overall investment strategy from 2021 through 2024.

There are Recent Customer Complaints with Broker Edgar Shanoyan in Firm Merrill Lynch, Pierce, Fenner & Smith Incorporated

March 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Edgar Shanoyan (Shanoyan), previously associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least 2 disclosable events. These events include one customer complaint, one regulatory, alleging that Shanoyan recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on September 24, 2024.

Respondent Shanoyan failed to respond to FINRA requests for information.

There are Recent Customer Complaints with Broker Brian Keenan in Firm Purshe Kaplan Sterling Investments

March 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Keenan (Keenan), previously associated with Purshe Kaplan Sterling Investments, has at least one disclosable event. These events include one customer complaint, alleging that Keenan 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 $85,000.00 on September 24, 2024.

Client allege misrepresentation and unsuitable recommendation of Northstar Healthcare REIT.

Broker Michael Greenfield in Great Point Capital LLC Firm Has Customer Complaint

March 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Greenfield (Greenfield), previously associated with Great Point Capital LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Greenfield recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on September 25, 2024.

BREACH OF FIDUCIARY DUTY, NEGLIGENCE, BREACH OF CONTRACT, FAILURE TO SUPERVISE AND NEGLIGENCE – VIOLATION OF REGULATION BEST INTEREST

Broker Angela Bender in Osaic Wealth, Inc. Firm Has Customer Complaint

March 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Angela Bender (Bender), currently associated with Osaic Wealth, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Bender 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 September 24, 2024.

The claimant alleges that the portfolio of investments recommended to him was not in keeping with his wishes.

Broker Michael Murray in Laidlaw & Company (uk) Ltd. Firm Has Customer Complaint

March 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Murray (Murray), currently associated with Laidlaw & Company (uk) Ltd., has at least 3 disclosable events. These events include one customer complaint, 2 tax liens, alleging that Murray 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 $399,000.00 on September 23, 2024.

Client alleges breach of fiduciary duty from 2018 to 2023

Broker Craig Blake in Level Four Financial, LLC Firm Has Customer Complaint

March 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Craig Blake (Blake), currently associated with Level Four Financial, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Blake 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 $75,000.00 on September 25, 2024.

Plaintiff alleges damages in excess of $75,000 associated with the plaintiff’s purchase of an indexed universal life insurance policy on or around May 17, 2017. Various causes of action are alleged against Craig Blake and his father, Jim Blake, and associated entities in their capacities as financial advisor (Craig Blake), accountant (Craig Blake and Jim Blake), and trustee (Jim Blake) including, breach of fiduciary duty, breach of trust, negligence, unjust enrichment and respondent superior.