Reg BI

There are Recent Customer Complaints with Broker Joseph Appolito in Firm Commonwealth Financial Network

August 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Appolito (Appolito), currently associated with Commonwealth Financial Network, has at least one disclosable event. These events include one customer complaint, alleging that Appolito 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 $300,000.00 on September 15, 2022.

Breach of fiduciary duty, unsuitability, material misrepresentations and omission, breach of contract, violation of California securities law, violation of FINRA rules 2010, IM-2310-2, and 2020.

There are Recent Customer Complaints with Broker Nicholas Buttler in Firm Spartan Capital Securities, LLC

August 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nicholas Buttler (Buttler), currently associated with Spartan Capital Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Buttler 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 $200,000.00 on June 09, 2025.

Unsuitable trading activity, unauthorized transactions, and excessive commissions

Broker Qusai Aljamous in Nylife Securities LLC Firm Has Customer Complaint

August 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Qusai Aljamous (Aljamous), previously associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Aljamous 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 $400,000.00 on June 09, 2025.

Customer alleges that he was advised by the registered representative to open an options account with Merrill Lynch/Bank of America, and the registered representative proceeded to trade within the account causing the customer to incur losses.

There are Recent Customer Complaints with Broker Thomas Windsor in Firm Wells Fargo Clearing Services, LLC

August 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Windsor (Windsor), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Windsor 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 $1,003,025.92 on June 10, 2025.

Claimant alleges that in April 2025, the registered representative failed to follow\, instructions.

Broker Bakhtiar Hussaini in Santander Securities LLC Firm Has Customer Complaint

August 17, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on June 06, 2025.

Client alleges that the Registered Index-Linked Annuities were not made clear to her and that she did not knowingly authorize them. Client also alleges that a withdrawal was processed from her IRA account and that she would have not knowingly agreed to withdraw funds from her IRA.

There are Recent Customer Complaints with Broker Aaron Rask in Firm MML Investors Services, LLC

August 17, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on June 10, 2025.

Customer’s Power of Attorney alleges the income and liquid net worth provided for the customer is inaccurate and requests a review of the customer’s policies.

Broker Anna Marie Lovell in Infinity Financial Services Firm Has Customer Complaint

August 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Anna Marie Lovell (Lovell), currently associated with Infinity Financial Services, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Lovell 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 $40,000.00 on June 06, 2025.

Unsuitable Investment Recommendations. Client claims misrepresentation, omission, or failure to disclose material facts.

Broker Dax Weindorf in the Leaders Group, INC. Firm Has Customer Complaint

August 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dax Weindorf (Weindorf), currently associated with the Leaders Group, INC., has at least one disclosable event. These events include one customer complaint, alleging that Weindorf 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 $95,000.00 on June 09, 2025.

Customer alleges that REIT investments recommended by RR were unsuitable.

There are Recent Customer Complaints with Broker Brian Nelson in Firm Emerson Equity LLC

August 17, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on June 10, 2025.

Violation of common law fraud, breach of fiduciary duty, negligence, unsuitable recommendations. In or around 2019

Broker Barbara Wooden in PFS Investments INC. Firm Has Customer Complaint

August 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Barbara Wooden (Wooden), currently associated with PFS Investments INC., has at least one disclosable event. These events include one customer complaint, alleging that Wooden 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 June 06, 2025.

Plaintiff alleges that the investment recommendations made were unsuitable.