Reg BI

Broker Joel Woods in LPL Financial LLC Firm Has Customer Complaint

February 1, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joel Woods (Woods), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Woods 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 $750,000.00 on December 31, 2024.

The claim alleges unsuitability, breach of fiduciary duty, negligence, negligent hiring, and breach of contract based on investments made in 2017.

There are Recent Customer Complaints with Broker Earl Winthrop in Firm LPL Financial LLC

February 1, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Earl Winthrop (Winthrop), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Winthrop 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 December 04, 2024.

Customer alleges unsuitable investments and violation of Reg BI

Broker Joyce Bloch in Ameriprise Financial Services, LLC Firm Has Customer Complaint

February 1, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on November 26, 2024.

Claimant alleges advisor recommended unsuitable investment of a fixed annuity

Broker Ian Biggs in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

January 31, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on November 20, 2024.

Customer alleges misrepresentation and failure to act in their best interest in October 2024.

There are Recent Customer Complaints with Broker Charles Alfaro in Firm Equitable Advisors, LLC

January 31, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Charles Alfaro (Alfaro), currently associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Alfaro 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 26, 2024.

Customer alleges the RR did not disclose surrender fees when customer purchased the annuity in 2023.

There are Recent Customer Complaints with Broker Colleen Bracy in Firm Edward Jones

January 31, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Colleen Bracy (Bracy), previously associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Bracy 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 $7,200.00 on November 06, 2024.

The client alleges the financial advisor did not advise client on the transfer limitations of 529 plan accounts.

Broker Scott Jory in J.P. Morgan Securities LLC Firm Has Customer Complaint

January 31, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Scott Jory (Jory), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Jory 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 $35,000.00 on November 01, 2024.

Customer alleges misrepresentation regarding variable annuity. Activity dates 7/9/2024 – 7/9/2024.

Broker Joshua Jenkins in Northwestern Mutual Investment Services, LLC Firm Has Customer Complaint

January 31, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joshua Jenkins (Jenkins), previously associated with Northwestern Mutual Investment Services, LLC, has at least 7 disclosable events. These events include 7 customer complaints, alleging that Jenkins 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 $20,832.00 on December 10, 2024.

The customer alleges that in or around April 2022, the Representative made misrepresentations in the sale of a variable life insurance policy including that it was an investment account, that ongoing premium payments were not required after the first year, and that there were no surrender charges associated with the policy. The customer alleges the Representative’s recommendation was motivated by commissions and fees, rather than the customer’s needs.

Broker Patrick Lawler in Purshe Kaplan Sterling Investments Firm Has Customer Complaint

January 31, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Patrick Lawler (Lawler), currently associated with Purshe Kaplan Sterling Investments, has at least one disclosable event. These events include one customer complaint, alleging that Lawler 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 $27,000.00 on December 03, 2024.

Claimants allege that, in 2014, Representative recommended an investment in a real estate investment trust (REIT) that was not suitable for Claimants. Claimants further allege that Representative misrepresented the high-risk, speculative, and illiquid nature of the REIT.

Broker Marizel Schiavetti in A.G.P. / Alliance Global Partners Firm Has Customer Complaint

January 31, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Marizel 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, and negligence between the years 2016-2018.