Reg BI

Morgan Stanley Broker Noah Alweiss Has Customer Complaint

January 30, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Noah Alweiss (Alweiss), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Alweiss 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, inter alia, that the trading and investment strategy executed in the client’s account was unsuitable – 2022-2023

Cutter & Company, Inc. Broker Cynthia Whitman Has Customer Complaint

January 30, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Cynthia Whitman (Whitman), currently associated with Cutter & Company, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Whitman 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 December 05, 2024.

[REDACTED] disputes how the payment for divorce related consulting services provided by Ms Whitman, performed in November 2023, would be handled if/when [REDACTED] were to become a client.

Avantax Investment Services, Inc. Broker Christopher Kirkland Has Customer Complaint

January 30, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Kirkland (Kirkland), currently associated with Avantax Investment Services, Inc., has at least 7 disclosable events. These events include 7 customer complaints, alleging that Kirkland 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 11, 2024.

Customer alleged the investment she purchased were not suitable.

Merrill Lynch, Pierce, Fenner & Smith Incorporated Broker Michael Byrd Has Customer Complaint

January 30, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on November 18, 2024.

Client alleges unsuitable recommendations in June 2010 and July 2023

MML Investors Services, LLC Broker Brian Bradley Has Customer Complaint

January 30, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Bradley (Bradley), currently associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bradley 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 $43,792.00 on December 11, 2024.

The complainant alleges that the fixed annuity that was sold to her in 2019, which was funded by a securities account, was unsuitable and that she was taken advantage of.

Edward Jones Broker Kenneth Cargill Has Customer Complaint

January 30, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on December 10, 2024.

Customer alleges the Variable universal Life Insurance policy he purchased in April 2014 was originally understood to be self-sustaining well into his 90’s with an annual premium of $400, however he now understand that the policy may lapse earlier than expected.

Morgan Stanley Broker Juan Dibildox Has Customer Complaint

January 30, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Juan Dibildox (Dibildox), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Dibildox 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 alleged, inter alia, misrepresentation with respect to the performance and use of his account assets – Dec 2020 to Nov 2024

Ameriprise Financial Services, LLC Broker John Coble Has Customer Complaint

January 30, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Coble (Coble), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Coble 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 16, 2024.

The client alleged the advisor informed him that both he and his wife would receive lifetime income from his TransAmerica Life Insurance Company annuity in March 2008.

Wells Fargo Clearing Services, LLC Broker Peter Waldron Has Customer Complaint

January 30, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on November 14, 2024.

Plaintiff alleges that beginning in April 2022, the financial advisor made unsuitable investment recommendations.

Financial West Group Broker Robert Kully Has Customer Complaint

January 30, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Kully (Kully), previously associated with Financial West Group, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Kully 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 $50,000.00 on December 16, 2024.

Customer alleges that an investment recommendation was unsuitable and misleading.