Reg BI

There are Recent Customer Complaints with Broker Robert Vance in Firm Moloney Securities Co., Inc.

February 4, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Vance (Vance), previously associated with Moloney Securities Co., Inc., has at least 14 disclosable events. These events include 13 customer complaints, one civil event, alleging that Vance 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 $156,000.00 on November 25, 2024.

Suitability/negligence. 2018-2021

There is a Customer Complaint with Broker Douglas Charney with Prospera Financial Services

February 4, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Douglas Charney (Charney), currently associated with Prospera Financial Services, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Charney 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 November 12, 2024.

Client complains of poor account performance from october 2021 to the present.

There are Recent Customer Complaints with Broker Arthur Taylor in Firm LPL Financial LLC

February 4, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Arthur Taylor (Taylor), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Taylor 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 $305,106.82 on December 03, 2024.

Claimants allege that following their father’s death, assets were improperly transferred from an account he held without transfer-on-death (‘tod’) instructions to an account he held with tod instructions and then transferred to claimants pursuant to the tod instructions. Allegation activity dates: april 28, 2011 – january 1, 2019.

There are Recent Customer Complaints with Broker Gerard Costello in Firm UBS Financial Services Inc.

February 4, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gerard Costello (Costello), currently associated with UBS Financial Services Inc., has at least one disclosable event. These events include one customer complaint, alleging that Costello 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 $620,000.00 on December 16, 2024.

Time frame: 2018, claimant’s counsel alleges unsuitability and misrepresentation with respect to recommendations to invest in and hold an options overlay strategy. Counsel further states clients were placed in an investment that was not in their best interest.

There are Recent Customer Complaints with Broker Francis Schiavetti in Firm A.G.P. / Alliance Global Partners

February 4, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Francis Schiavetti (Schiavetti), currently associated with A.G.P. / Alliance Global Partners, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Schiavetti recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on November 15, 2024.

After client passed away his estate alleged breach of fiduciary duty, fraud by misrepresentation, nd negligence between the years 2016-2018.

There are Recent Customer Complaints with Broker Michael Corrada Formerly with Center Street Securities

February 4, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Corrada (Corrada), previously associated with Center Street Securities, Inc., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Corrada recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on November 13, 2024.

The claimant alleges unsuitable investments.

There is A Recent Customer Complaint with Advisor Brittany Ingman with Merrill Lynch

February 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brittany Ingman (Ingman), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Ingman recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on November 01, 2024.

The client alleges misrepresentation related to the beneficiary of an ira.

There are Recent Customer Complaints with Broker James Defelice in Firm Equitable Advisors, LLC

February 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Defelice (Defelice), currently associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Defelice 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 November 01, 2024.

Client alleges the rr misrepresented the fees and terms of vul policy issued in 2023.

Broker Cyrus Baravati in Charles Schwab & Co., Inc. Firm Has Customer Complaint

February 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Cyrus Baravati (Baravati), currently associated with Charles Schwab & Co., Inc., has at least one disclosable event. These events include one customer complaint, alleging that Baravati 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 $25,286.38 on November 10, 2024.

The client alleges he was misled about a transfer of accounts from another firm. The client claims that he was advised the transfer would be in-kind and not incur any tax consequences.

There are Recent Customer Complaints with Broker Fred Chen in Firm Emerson Equity LLC

February 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Fred Chen (Chen), currently associated with Emerson Equity LLC, has at least 4 disclosable events. These events include 4 customer complaints, alleging that Chen 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 December 11, 2024.

Breach of written contract, breach of fiduciary duty, negligence and gross negligence, misrepresentations and omissions, violation of finra rules, violation of federal securities laws, violation of the california securities act and violation of best interest obligations. June 2020