Reg BI

There are Recent Customer Complaints with Broker Nathan Paulson in Firm Apw Capital, Inc.

February 9, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nathan Paulson (Paulson), previously associated with Apw Capital, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Paulson 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 $5,000,000.00 on June 22, 2023.

Breach of fiduciary duty by willfully and recklessly, disregarding the interests of the clients, by executing risky and authorized trading and margin borrowing, and by failing to exercise a reasonable degree of care, skill, prudence, and diligence in managing their accounts.

Broker Ryan Stoner in Fifth Third Securities, Inc. Firm Has Customer Complaint

February 9, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ryan Stoner (Stoner), previously associated with Fifth Third Securities, Inc., has at least one disclosable event. These events include one tax lien, alleging that Stoner recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on August 02, 2024.

Respondent Stoner failed to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA request to provide information concerning the status of compliance.

There are Recent Customer Complaints with Broker Matthew Patrick in Firm U.s. Bancorp Investments, Inc.

February 9, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a award / judgment customer complaint with a damage request of $700,000.00 on April 06, 2023.

Claimant alleged that RR recommended an unsuitable investment strategy and did not disclose all materials facts associated with the strategy.

There are Recent Customer Complaints with Broker Christopher Mollan in Firm LPL Financial LLC

February 9, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on May 02, 2024.

Customer alleges that an investment made in 2014 was unsuitable for the customer’s investment objectives and risk tolerance.

Broker Jason Martin in Ameriprise Financial Services, LLC Firm Has Customer Complaint

February 9, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on February 08, 2024.

Customer alleges that an investment made in 2014 was unsuitable for the customer’s investment objectives and risk tolerance.

There are Recent Customer Complaints with Broker Robert Jones in Firm Edward Jones

February 9, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Jones (Jones), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Jones 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 $820,349.41 on June 28, 2024.

The client alleges the financial advisor failed to follow instructions in 2020 to remove POA from account. Client also makes allegations concerning investments in an account over which he has no authority.

Broker Eugene Thompson in Capital Investment Group, Inc. Firm Has Customer Complaint

February 9, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eugene Thompson (Thompson), currently associated with Capital Investment Group, Inc., has at least 5 disclosable events. These events include 5 customer complaints, alleging that Thompson 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 $350,000.00 on September 03, 2024.

Relative to specific investments made by clients, claims included unsuitability, breach of fiduciary conduct, negligence/gross negligence, negligent misrepresentation, intentional misrepresentation/omission and, breach of contract.

Broker Frank Giacalone in Aegis Capital Corp. Firm Has Customer Complaint

February 9, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Frank Giacalone (Giacalone), currently associated with Aegis Capital Corp., has at least one disclosable event. These events include one customer complaint, alleging that Giacalone 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 $39,668.33 on May 01, 2024.

Time frame: August 2018 – April 2021. Client alleges unsuitable recommendations and investments.

Broker Traci Marchi in Morgan Stanley Firm Has Customer Complaint

February 9, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Traci Marchi (Marchi), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Marchi 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 $370,464.35 on June 27, 2024.

From approximately early March 2017 through approximately summer 2018, in connection with an outside business activity not involving the Firm, the plaintiff alleges common law fraud, elder abuse, breach of fiduciary duty, improper receipt of fund, unjust enrichment, conversion, intentional interference with contracts, and breach of contract related to an investment in a limited liability company that owned real estate.

Broker William Cerf in UBS Financial Services Inc. Firm Has Customer Complaint

February 9, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Cerf (Cerf), currently associated with UBS Financial Services Inc., has at least one disclosable event. These events include one customer complaint, alleging that Cerf 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 $3,000,000.00 on September 07, 2023.

Time frame: 2017 – 2023\, Claimant’s counsel alleges unsuitability and misrepresentation with respect to recommendations to invest in and hold an options overlay strategy.