Reg BI

There are Recent Customer Complaints with Broker Jon Dixon in Firm Allstate Financial Services, LLC

March 14, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on October 04, 2024.

Customer alleges the riders associated with the contract, specifically the death benefit rider, were misrepresented to him and that he was not made aware of the excessive fees associated with the investment.

Broker David Menashe in Allied Millennial Partners, LLC Firm Has Customer Complaint

March 14, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Menashe (Menashe), previously associated with Allied Millennial Partners, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Menashe 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 $150,000.00 on October 04, 2024.

SUITABILITY, BREACH OF FIDUCIARY DUTY/BREACH OF COVENANTS OF GOOD FAITH AND FAIR DEALING, UNAUTHORIZED TRADING, CHURNING, AND FAILURE TO SUPERVISE.

Broker Wendy Holmes in UBS Financial Services Inc. Firm Has Customer Complaint

March 14, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Wendy Holmes (Holmes), currently associated with UBS Financial Services Inc., has at least one disclosable event. These events include one customer complaint, alleging that Holmes 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 $1,000,000.00 on October 04, 2024.

Time frame: 2016-2019 Allegations: Claimant’s counsel alleges unsuitability and misrepresentation with respect to recommendations to invest in and hold an options overlay strategy.

Broker Dale Timmermann in Moloney Securities Co., Inc. Firm Has Customer Complaint

March 14, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dale Timmermann (Timmermann), currently associated with Moloney Securities Co., Inc., has at least one disclosable event. These events include one customer complaint, alleging that Timmermann 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 $275,000.00 on October 04, 2024.

Suitability/negligence. 2014-2018

Broker Evan Adelglass in LPL Financial LLC Firm Has Customer Complaint

March 14, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Evan Adelglass (Adelglass), currently associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Adelglass 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 $330,000.00 on October 07, 2024.

Customers allege that investments made were unsuitable for the customers’ investment objectives and risk tolerance. Time frame: 2021-2024.

Broker David Lorber in Newbridge Securities Corporation Firm Has Customer Complaint

March 14, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Lorber (Lorber), currently associated with Newbridge Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Lorber 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 $90,000.00 on October 03, 2024.

BREACH OF FIDUCIARY DUTY, NEGLIGENCE AND NEGLIGENT SUPERVISION.

There are Recent Customer Complaints with Broker Richard Slavik in Firm Newbridge Securities Corporation

March 14, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Slavik (Slavik), currently associated with Newbridge Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Slavik 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 $150,000.00 on October 04, 2024.

SUITABILITY, BREACH OF FIDUCIARY DUTY/BREACH OF COVENANTS OF GOOD FAITH AND FAIR DEALING, UNAUTHORIZED TRADING, CHURNING, AND FAILURE TO SUPERVISE.

There are Recent Customer Complaints with Broker John Woods in Firm Oppenheimer & Co. Inc.

March 14, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Woods (Woods), previously associated with Oppenheimer & Co. Inc., has at least 15 disclosable events. These events include 14 customer complaints, one tax lien, alleging that Woods recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on October 07, 2024.

Violation of FINRA rules; Violations of Georgia & NC Blue Sky Laws and RICO; Breach of Fiduciary Duty; Breach of the Duty of Good Faith & Fair Dealing; Breach of Contract; Respondeat Superior/Agency by Estoppel Liability; \, Ponzi Scheme. From 2013 to 2016.

Broker Thomas Casolaro in Newbridge Securities Corporation Firm Has Customer Complaint

March 14, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Casolaro (Casolaro), currently associated with Newbridge Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Casolaro 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 $150,000.00 on October 04, 2024.

SUITABILITY, BREACH OF FIDUCIARY DUTY/BREACH OF COVENANTS OF GOOD FAITH AND FAIR DEALING, UNAUTHORIZED TRADING, CHURNING, AND FAILURE TO SUPERVISE.

Broker Eric Wittenberg in UBS Financial Services Inc. Firm Has Customer Complaint

March 14, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eric Wittenberg (Wittenberg), currently associated with UBS Financial Services Inc., has at least one disclosable event. These events include one customer complaint, alleging that Wittenberg 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 $1,000,000.00 on October 04, 2024.

Time frame: 2016-2019 \, Allegations: Claimant’s counsel alleges unsuitability and misrepresentation with respect to recommendations to invest in and hold an options overlay strategy.