Reg BI

There are Recent Customer Complaints with Broker Anthony Mampieri in Firm Wells Fargo Advisors Financial Network, LLC

February 16, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Anthony Mampieri (Mampieri), currently associated with Wells Fargo Advisors Financial Network, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mampieri 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 $7,700,000.00 on January 08, 2025.

CLIENT’S ATTORNEY ALLEGES, INTER ALIA, THAT THE CLIENT’S ACCOUNTS WERE NOT MANAGED IN HER BEST INTERESTS 2010-2023

There are Recent Customer Complaints with Broker David Frohlichstein in Firm Ausdal Financial Partners, Inc.

February 16, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Frohlichstein (Frohlichstein), currently associated with Ausdal Financial Partners, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Frohlichstein 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 January 10, 2025.

BREACH OF CONTRACT AND WARRANTIES, PROMISSORY ESTOPPEL; VIOLATION OF STATE SECURITIES STATUTES; BREACH OF FIDUCIARY DUTY; CLAIMS UNDER COMMON LAW; VICARIOUS LIABILITY.

Broker Andrew Zigouras in Concorde Investment Services, LLC Firm Has Customer Complaint

February 16, 2025 | by Staff Attorney

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

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

Client is alleging that the agent misrepresented the terms of policy purchased in 2022.

Broker Thomas Ellis in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

February 16, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Ellis (Ellis), previously associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Ellis 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 $1,000,000.00 on January 07, 2025.

Co-Personal Representatives for the estate allege that the Financial Advisor failed to act in the client’s best interest and made an unsuitable recommendation related to a variable annuity in June 2022.

Broker Douglas Frank in Wells Fargo Advisors Financial Network, LLC Firm Has Customer Complaint

February 16, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on January 07, 2025.

Customer alleges failure to follow instructions and misrepresentation in connection with the sale of securities in March 2023.

There are Recent Customer Complaints with Broker Daniel Beech in Firm Innovation Partners LLC

February 15, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Beech (Beech), previously associated with Innovation Partners LLC, has at least 10 disclosable events. These events include 9 customer complaints, one tax lien, alleging that Beech 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 $1,400,000.00 on January 15, 2025.

Customer alleges that an investment recommendation was unsuitable and misleading.

Broker Vipul Talati in Wells Fargo Clearing Services, LLC Firm Has Customer Complaint

February 15, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Vipul Talati (Talati), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Talati 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 $20,000.00 on January 14, 2025.

Client complained that the Financial Advisor’s recommendation was not in line with clients primary objective of capital preservation, resulting in unrealized loss in market value. Client is seeking reimbursement for losses. (9/17/2024 – 1/14/2025)

Broker Chad Christell in Edward Jones Firm Has Customer Complaint

February 15, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Chad Christell (Christell), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Christell 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 $4,628.18 on January 14, 2025.

Beneficiary alleges that financial advisor stole or otherwise misappropriated funds from one beneficiary to another to cover his own mistake which resulted in market loss.

There are Recent Customer Complaints with Broker Hung Ly in Firm Wells Fargo Clearing Services, LLC

February 15, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Hung Ly (Ly), previously associated with Wells Fargo Clearing Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Ly recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on January 15, 2025.

Attorney for customers complains that they relied to their detriment on advice given by their financial advisor relating to investments by foreign investors seeking to obtain visas for US residency. (3/5/2017-8/29/2019)

There are Recent Customer Complaints with Broker Michael Lehman in Firm Ameriprise Financial Services, LLC

February 15, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Lehman (Lehman), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lehman 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 $300,000.00 on January 15, 2025.

Time frame: May 2012 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.