Reg BI

There are Recent Customer Complaints with Broker John Lowry 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 John Lowry (Lowry), currently associated with Spartan Capital Securities, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Lowry 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.

Failure to Supervise

Broker Thomas Daniels in Steward Partners Investment Solutions, LLC Firm Has Customer Complaint

August 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Daniels (Daniels), previously associated with Steward Partners Investment Solutions, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Daniels 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 June 10, 2025.

Client alleges poor account performance.

There are Recent Customer Complaints with Broker John Stapleton 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 John Stapleton (Stapleton), currently associated with Spartan Capital Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Stapleton 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

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

August 17, 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 $499,000.99 on June 10, 2025.

Allegations include; breach of fiduciary duties; failure to supervise; negligence and gross negligence; violation of FINRA Rules, violation of the federal securities laws, and violation of the Best Interest Obligations (Reg BI).\, December 2018 & May 2019.

There are Recent Customer Complaints with Broker Richard Widman in Firm LPL Financial LLC

August 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Widman (Widman), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Widman 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 $15,000.00 on June 07, 2025.

Customer’s POA alleges that licensed admin accepted excessive payment for outside business activity.

Broker Rocco Guidicipietro in Alexander Capital, L.p. Firm Has Customer Complaint

August 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Rocco Guidicipietro (Guidicipietro), currently associated with Alexander Capital, L.p., has at least one disclosable event. These events include one customer complaint, alleging that Guidicipietro 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 $499,000.99 on June 10, 2025.

Allegations include; breach of fiduciary duties; failure to supervise; negligence and gross negligence; violation of FINRA Rules, violation of the federal securities laws, and violation of the Best Interest Obligations (Reg BI).\, December 2018 & May 2019.

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

August 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Paul Murray (Murray), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Murray 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 $4,000,000.00 on June 06, 2025.

Client alleges, inter alia, that he was taken advantage of by how his account was managed 2008-2009

Broker Scot Barringer in American Trust Investment Services, INC. Firm Has Customer Complaint

August 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Scot Barringer (Barringer), previously associated with American Trust Investment Services, INC., has at least 3 disclosable events. These events include one customer complaint, 2 regulatory events, alleging that Barringer 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 Alleges Breach of contract and warranties, promissory estoppel, violation of fraud and estate securities statutes and the deceptive trade practices act, intentional and negligent misrepresentations of material fact and statutes and the deceptive trade practices act, intentional and negligent misrepresentations of material fact and vicarious liability in conjunction with their purchase of GWG.

Broker Fariba Madison in Vanderbilt 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 Fariba Madison (Madison), currently associated with Vanderbilt Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Madison 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 $358,000.00 on June 09, 2025.

Customer alleges that an investment recommendation was unsuitable and misleading.

Broker Sarah Black in Fidelity Brokerage Services LLC Firm Has Customer Complaint

August 16, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sarah Black (Black), currently associated with Fidelity Brokerage Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Black 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 13, 2025.

Customer alleged that the representative made an unsuitable recommendation to invest in a managed account.