Reg BI

Broker Ashley Thompson in LPL Financial LLC Firm Has Customer Complaint

March 10, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on October 18, 2024.

Customer alleges representative failed to follow instructions. Time period: 2017-2023.

Broker Todd Welsh in Level Four Financial, LLC Firm Has Customer Complaint

March 10, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Todd Welsh (Welsh), currently associated with Level Four Financial, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Welsh 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 October 18, 2024.

Time frame: December 2010 to 2023 Allegations: Claimant’s counsel alleges UBS failed to do adequate due diligence on a fund of funds, which counsel alleges was unsuitable for any investor, and as a result all relevant risks were not disclosed to investors.

Broker Brion Harris in Cetera Advisor Networks LLC Firm Has Customer Complaint

March 10, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on October 17, 2024.

Claimants allege unsuitable investment recommendations which resulted in losses.

There are Recent Customer Complaints with Broker Thomas Duggan in Firm Aegis Capital Corp.

March 10, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Duggan (Duggan), previously associated with Aegis Capital Corp., has at least 3 disclosable events. These events include 3 customer complaints, alleging that Duggan recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on October 17, 2024.

Time frame: Unspecified. Claimant alleges breach of fiduciary duty, and breach of contract.

There are Recent Customer Complaints with Broker Joseph Amato in Firm Alexander Capital, L.p.

March 10, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Amato (Amato), currently associated with Alexander Capital, L.p., has at least one disclosable event. These events include one customer complaint, alleging that Amato 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 $1,694,000.00 on October 17, 2024.

Breach of Fiduciary Duty, Fraudulent Inducement, Negligence, Breach of Contract, Violation of FINRA Rule 2010, Equity. February 2021.

Broker Carlos Garcia in Kovack Securities Inc. Firm Has Customer Complaint

March 10, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Carlos Garcia (Garcia), currently associated with Kovack Securities Inc., has at least one disclosable event. These events include one customer complaint, alleging that Garcia 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 $107,000.00 on October 17, 2024.

Client expressed dissatisfaction with RR’s hold recommendation which resulted in unrealized losses.

There are Recent Customer Complaints with Broker Shawn Weadock in Firm Alexander Capital, L.p.

March 10, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Shawn Weadock (Weadock), currently associated with Alexander Capital, L.p., has at least one disclosable event. These events include one customer complaint, alleging that Weadock 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 $1,694,000.00 on October 17, 2024.

Alleges: Breach of Fiduciary Duty, Fraudulent Inducement, Negligence, Breach of Contract, Violation of FINRA Rule 2010, Equity. February 2021.

Broker Jerry Dempsey in Dempsey Lord Smith, LLC Firm Has Customer Complaint

March 10, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on October 17, 2024.

UNSUITABILITY, BREACH OF FIDUCIARY DUTY, AND NEGLIGENCE

There are Recent Customer Complaints with Broker Ira Walker in Firm UBS Financial Services Inc.

March 10, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ira Walker (Walker), currently associated with UBS Financial Services Inc., has at least one disclosable event. These events include one customer complaint, alleging that Walker 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 $10,000,000.00 on October 18, 2024.

Time frame: 1-Jan-2023 to 01-Oct-2024 \, Allegations: Plaintiff, who is going through a divorce, asserts that his wife, who is co-trustee of a trust for the benefit of their children and, with Plaintiff, maintains an account at the firm, was allowed to make an allegedly unauthorized transfer from the trust’s account to a beneficiary of the trust – their daughter, who also maintains an account at the firm.

Broker John Lord in Dempsey Lord Smith, LLC Firm Has Customer Complaint

March 10, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Lord (Lord), currently associated with Dempsey Lord Smith, LLC, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Lord recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on October 17, 2024.

UNSUITABILITY, BREACH OF FIDUCIARY DUTY, AND NEGLIGENCE