Reg BI

There are Recent Customer Complaints with Broker Joseph Roop in Firm Dempsey Lord Smith, LLC

August 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Roop (Roop), previously associated with Dempsey Lord Smith, LLC, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Roop 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 $45,000.00 on July 10, 2025.

Unsuitable Recommendation\, Breach of Fiduciary Duty\, Negligence and Negligent Misrepresentation\, Breach of Contract

Broker Gregory Mcleod in Newbridge Securities Corporation Firm Has Customer Complaint

August 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gregory Mcleod (Mcleod), currently associated with Newbridge Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Mcleod 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 $500,000.00 on July 02, 2025.

BREACH OF CONTRACT, BREACH OF FIDUCIARY DUTY, FAILURE TO SUPERVISE, NEGLIGENCE, MISREPRESENTATIONS/OMISSIONS, VIOLATIONS OF STATE AND FEDERAL SECURITIES LAWS AND REGULATIONS.

There are Recent Customer Complaints with Broker Harry Hartman in Firm Edward Jones

August 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Harry Hartman (Hartman), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Hartman 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 $122,779.00 on July 07, 2025.

Claimant alleges registered representative sold individual stock holdings of the Claimant without her informed consent on April 19, 2024.

Broker Michael Schiavello in Dominari Securities LLC Firm Has Customer Complaint

August 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Schiavello (Schiavello), currently associated with Dominari Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Schiavello 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 $200,000.00 on July 11, 2025.

A former customer of Registered Representative alleges damages arising from Registered Representative’s ‘unsuitable investment advice, misrepresentation and breach of FINRA rules and obligations in relation to [his] investment’

Broker Scott Wirgau in Edward Jones Firm Has Customer Complaint

August 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Scott Wirgau (Wirgau), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Wirgau 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 $269,705.36 on July 10, 2025.

The client alleges in 2021 they deposited $269,705.36 to be invested in a short-term interest earning account with easy access. They further allege the financial advisor did not invest the funds according to those instructions and they have since lost this amount.

There are Recent Customer Complaints with Broker Michael Casey in Firm Raymond James & Associates, INC.

August 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Casey (Casey), currently associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Casey 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 $33,252.96 on July 02, 2025.

The client alleged they were not receiving financial advice or service despite paying management fees.

There are Recent Customer Complaints with Broker Antonio Da Roza in Firm Merrill Lynch, Pierce, Fenner & Smith Incorporated

August 22, 2025 | by Staff Attorney

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

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

The Claimants alleges negligence, breach of fiduciary duty and failure to supervise from November 2020 to December 2022.

Broker Victor Sibilla in Westpark Capital, INC. Firm Has Customer Complaint

August 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Victor Sibilla (Sibilla), currently associated with Westpark Capital, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Sibilla 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 July 09, 2025.

Customer alleges professional negligence, failure to comply with Best Interest & Suitability, failure to supervise, breach of fiduciary duty, negligent misrepresentation, Arizona Securities Fraud, Arizona Control Person Liability, respondeat superior and breach of implied covenant of good faith and fair dealing as it relates to the handling of his account.

Broker Gregg Burrell in LPL Financial LLC Firm Has Customer Complaint

August 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gregg Burrell (Burrell), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Burrell 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 $160,000.00 on July 07, 2025.

Customers allege that an investment made in 1999 was unsuitable for the customers’ investment objectives and risk tolerance.

Broker Salvadore Salvo in Purshe Kaplan Sterling Investments Firm Has Customer Complaint

August 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Salvadore Salvo (Salvo), currently associated with Purshe Kaplan Sterling Investments, has at least one disclosable event. These events include one customer complaint, alleging that Salvo 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 $508,000.00 on July 02, 2025.

Client alleges that the custodian should have transferred all his existing positions in-kind to his new account and that he should have been notified of the positions that did not transfer in-kind sooner. Client alleges that as a result, the advisor team failed their fiduciary responsibilities by not knowing that all of his existing positions May not have been able to be transferred in kind.