Reg BI

There are Recent Customer Complaints with Broker Robert Gustafson in Firm Moloney Securities Co., INC.

August 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Gustafson (Gustafson), currently associated with Moloney Securities Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Gustafson 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 $110,000.00 on September 27, 2022.

Suitability/negligence. 2020

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

August 20, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on September 22, 2022.

Customer alleges unsuitable investment recommendations from December 2020 through April 2022.

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

August 20, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on October 02, 2022.

The customer alleges unsuitable investment recommendations and misrepresentations from December 2020 through October 2022.

There are Recent Customer Complaints with Broker Jacob Warner in Firm Charles Schwab & Co., INC.

August 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jacob Warner (Warner), currently associated with Charles Schwab & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Warner 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 $21,327.99 on September 19, 2022.

The client expressed dissatisfaction with the recommendations she received while enrolled in Schwab Wealth Advisory from January 2020 to July 2022 and requested reimbursement of fees in the amount of $21,327.99.

Broker Benjamin Belanger in Kestra Investment Services, LLC Firm Has Customer Complaint

August 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Benjamin Belanger (Belanger), currently associated with Kestra Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Belanger 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 15, 2022.

Claimants allege their financial adviser recommended unsuitable investments. Claimants generally allege suitability and misrepresentation.

There are Recent Customer Complaints with Broker Shawn Holbrook in Firm Pnc Investments

August 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Shawn Holbrook (Holbrook), currently associated with Pnc Investments, has at least one disclosable event. These events include one customer complaint, alleging that Holbrook 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 $27,232.38 on September 19, 2022.

Client alleged recommendations was not consistent with her investment objectives.

There are Recent Customer Complaints with Broker Steven Bell in Firm A.g.p. / Alliance Global Partners

August 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven Bell (Bell), currently associated with A.g.p. / Alliance Global Partners, has at least one disclosable event. These events include one customer complaint, alleging that Bell 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 $27,000.00 on September 30, 2022.

Unsuitable recommendation, negligence, misrepresentation

There are Recent Customer Complaints with Broker John Atkins in Firm Osaic Institutions, INC.

August 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Atkins (Atkins), currently associated with Osaic Institutions, INC., has at least one disclosable event. These events include one customer complaint, alleging that Atkins 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 $44,000.00 on September 29, 2022.

Statement of Claim suggests losses based upon the recommendation of an unsuitable alternative mutual fund that had a risky strategy and was misrepresented by the financial professional.

There are Recent Customer Complaints with Broker Christopher Hartwig in Firm Vanguard Marketing Corporation

August 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Hartwig (Hartwig), previously associated with Vanguard Marketing Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Hartwig 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 $33,960.00 on September 15, 2022.

Client alleges that the advisor did not make her aware that trades placed to replenish her spending fund were made from her Traditional IRA account, resulting in IRS tax liabilities of $33,960.00. The activity dates leading to the allegations were September 25, 2020, and November 13, 2020.

There are Recent Customer Complaints with Broker Jack Burk in Firm Arete Wealth Management, LLC

August 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jack Burk (Burk), currently associated with Arete Wealth Management, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Burk 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 $50,000.00 on October 04, 2022.

Clients allege unsuitable investment recommendations