Reg BI

There are Recent Customer Complaints with Broker John Mccarthy in Firm Osaic Wealth, Inc.

March 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Mccarthy (Mccarthy), currently associated with Osaic Wealth, Inc., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Mccarthy 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 $53,000.00 on October 28, 2024.

Claimant alleges their RR recommended an unsuitable Oil and Gas investment.

Broker Paul Meaney in Osaic Wealth, Inc. Firm Has Customer Complaint

March 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Paul Meaney (Meaney), currently associated with Osaic Wealth, Inc., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Meaney 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 October 28, 2024.

Claimant alleges their RR recommended an unsuitable Oil and Gas investment

There are Recent Customer Complaints with Broker Jerald Hymen in Firm Oppenheimer & Co. Inc.

March 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jerald Hymen (Hymen), currently associated with Oppenheimer & Co. Inc., has at least one disclosable event. These events include one customer complaint, alleging that Hymen 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 $38,066.12 on October 25, 2024.

Breach of fiduciary duty in management of accounts by alleged wrongful rate increase from 1.25% to 1.95% when account holder was “elderly and had cognitive decline due to medical conditions, from 1/1/2021 to Present.

Broker David Janny in Ameriprise Financial Services, LLC Firm Has Customer Complaint

March 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Janny (Janny), currently associated with Ameriprise Financial Services, LLC, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Janny 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 $500,000.00 on October 23, 2024.

During the period July 2022-October 2023, claimants allege respondent recommended unsuitable investments including stocks in speculative precious metals and the energy sector.

There are Recent Customer Complaints with Broker John Ryan jr in Firm Lincoln Financial Advisors Corporation

March 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Ryan jr (Ryan jr), previously associated with Lincoln Financial Advisors Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Ryan jr 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 $35,000.00 on October 28, 2024.

Claimant alleges their RR recommended an unsuitable Oil and Gas investment.

There are Recent Customer Complaints with Broker Thomas Kruse in Firm Oppenheimer & Co. Inc.

March 3, 2025 | by Staff Attorney

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

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

Claimant asserts claims for unsuitability, fraud, breach of contract, breach of fiduciary duty and violation of state securities laws in connection with his purchase of shares in a NASDAQ listed health care company. From 2008 to Present.

There are Recent Customer Complaints with Broker Kenneth Rudzinski in Firm Osaic Wealth, Inc.

March 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kenneth Rudzinski (Rudzinski), currently associated with Osaic Wealth, Inc., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Rudzinski 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 $50,000.00 on October 28, 2024.

Claimant alleges their RR recommended an unsuitable Oil and Gas investment.

There are Recent Customer Complaints with Broker Jeffrey Engelbrecht in Firm Pnc Investments

March 2, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Engelbrecht (Engelbrecht), currently associated with Pnc Investments, has at least one disclosable event. These events include one customer complaint, alleging that Engelbrecht 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 $12,389.00 on October 28, 2024.

Customer alleges the liquidation of a security as part of an account transfer was unexpected and resulted in unanticipated tax consequences.

There are Recent Customer Complaints with Broker Michael Mcfeeley in Firm LPL Financial LLC

March 2, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Mcfeeley (Mcfeeley), currently associated with LPL Financial LLC, has at least 9 disclosable events. These events include 9 customer complaints, alleging that Mcfeeley 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 28, 2024.

Claimant alleges their RR recommended an unsuitable Oil and Gas investment.

Broker Jared Hoffman in Ameriprise Financial Services, LLC Firm Has Customer Complaint

March 2, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jared Hoffman (Hoffman), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hoffman 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 $5,000.00 on October 28, 2024.

The client alleged the advisor failed to act upon her requests to complete Roth conversions multiple times between December 2023 and July 2024.