Reg BI

Broker Bruce Davis in Wells Fargo Clearing Services, LLC Firm Has Customer Complaint

July 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bruce Davis (Davis), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Davis 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 $1,100,000.00 on July 18, 2023.

Claimants allege, inter alia, breach of fiduciary duty and fraud in relation to account activity. (2008-2022)

There are Recent Customer Complaints with Broker Joshua Rushing in Firm Cetera Advisors LLC

July 16, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joshua Rushing (Rushing), currently associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Rushing 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 $35,000.00 on July 23, 2023.

The client alleges trades place in November of 2022 were not authorized.

There are Recent Customer Complaints with Broker Russ Kory in Firm David Lerner Associates, INC.

July 16, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Russ Kory (Kory), previously associated with David Lerner Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Kory 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 $99,999.00 on July 24, 2023.

Unsuitability, misrepresentation/omission and breach of fiduciary duty with regards to E12 and SOAEX\, June 12, 2007, date of the first purchase to July 24, 2023 the date the SOC was received.

There are Recent Customer Complaints with Broker Charles Castro in Firm David Lerner Associates, INC.

July 16, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Charles Castro (Castro), currently associated with David Lerner Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Castro 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 $99,999.00 on July 24, 2023.

Hold recommendation SOAEX, APLE\, June 12, 2007, date of the first purchase to July 24, 2023 the date the SOC was received.

Broker Kevin Canterbury in Coastal Equities, INC. Firm Has Customer Complaint

July 16, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Canterbury (Canterbury), previously associated with Coastal Equities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Canterbury 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 July 21, 2023.

Claimants allege unsuitable investments.

Broker Renee Amochaev in Portsmouth Financial Services Firm Has Customer Complaint

July 16, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Renee Amochaev (Amochaev), previously associated with Portsmouth Financial Services, has at least one disclosable event. These events include one customer complaint, alleging that Amochaev 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 $137,880.00 on July 24, 2023.

Failed to conduct reasonable and adequate due diligence, misrepresentation of risks, overconcentration of GWG bonds.

There are Recent Customer Complaints with Broker Daniel Della Rosa in Firm Corinthian Partners, L.l.c.

July 16, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Della Rosa (Della Rosa), previously associated with Corinthian Partners, L.l.c., has at least one disclosable event. These events include one customer complaint, alleging that Della Rosa 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 $75,000.00 on July 20, 2023.

Breach of fiduciary duty, violation of FINRA and NYSE rules, breach of contract, negligence, violation of Florida securities and investor protection act.

There are Recent Customer Complaints with Broker Stephen Kerutis in Firm Cetera Advisors LLC

July 16, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on July 26, 2023.

Customer alleges that she gave the advisor $500 in cash, which he took. Customer also alleges misrepresentation of market linked CDs. In a follow-up complaint dated 7/25/23, the customer also alleged forgery of her signature on account documents.

There are Recent Customer Complaints with Broker Twyla Youngblood in Firm Infinex Investments, INC.

July 16, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Twyla Youngblood (Youngblood), previously associated with Infinex Investments, INC., has at least one disclosable event. These events include one customer complaint, alleging that Youngblood 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 $75,000.00 on July 24, 2023.

Claimant is seeking estimated total damages between $75,000.00 – $125,000.002, including compensatory damages, as well as any other additional damages as this Panel May see fit, including improper fees, costs, and other expenses, plus interest, and costs, due to Respondent’s negligent, improper conduct, breach of contract, breach of fiduciary duty, negligence, negligent supervision, and violation of applicable laws and industry rules.

There are Recent Customer Complaints with Broker Jeffrey Scott in Firm Centaurus Financial, INC.

July 16, 2025 | by Staff Attorney

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

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

The customers allege that the Registered Representative recommended a high-risk, speculative and illiquid investment. No specific dates for the alleged activity were identified in the Statement of Claim.