Reg BI

Broker Paulo De Souza in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

June 18, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on May 18, 2025.

Client alleges misrepresentation from April 2024-May 2025.

Broker Michael Minter in Lifemark Securities Corp. Firm Has Customer Complaint

June 18, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Minter (Minter), currently associated with Lifemark Securities Corp., has at least one disclosable event. These events include one customer complaint, alleging that Minter 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 April 28, 2025.

Allegations pertain to investments in alternative products, intended to be a small component of a larger diversified portfolio. Investments were purchased in 05/2020 and 06/2020. Allegations include unsuitable investment, breach of contract, breach of fiduciary duty, negligence, and misrepresentation.

There are Recent Customer Complaints with Broker Evan Dienstag in Firm Stifel, Nicolaus & Company, Incorporated

June 18, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Evan Dienstag (Dienstag), currently associated with Stifel, Nicolaus & Company, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Dienstag 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 $20,244.00 on March 31, 2025.

Client complains they deposited funds in their 529 accounts, expecting the Financial Advisor to invest the funds. The client is requesting to be compensated on the lost opportunity for uninvested funds. (10/25/07-9/1/16)

Broker Roland Cuellar in MML Investors Services, LLC Firm Has Customer Complaint

June 18, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Roland Cuellar (Cuellar), currently associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Cuellar 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 $44,739.30 on May 21, 2025.

The complainant, estranged spouse of the registered representative currently involved in divorce proceedings, alleges fraud against the rep for obtaining a check for $44,739.30 in April 2023 as a loan against her whole life insurance policy without her consent.

Broker Scott Schaul in Pinnacle Investments, LLC Firm Has Customer Complaint

June 18, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Scott Schaul (Schaul), currently associated with Pinnacle Investments, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Schaul 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 $40,000.00 on May 08, 2025.

Client alleges Mr. Schaul misrepresented the investment as a very safe fund that moved minimally. Based on this recent performance was not in line with the client’s expectations and as such the client states they have less capital than they initially invested.

There are Recent Customer Complaints with Broker Chuck Roberts in Firm Stifel, Nicolaus & Company, Incorporated

June 18, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Chuck Roberts (Roberts), currently associated with Stifel, Nicolaus & Company, Incorporated, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Roberts 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 June 12, 2025.

Claimants allege breach of fiduciary duty, negligence, fraud, breach of contract, violation of sections 10(b) and 20(a) of the Securities Exchange Act and Rule 10b-5, and violation of the Florida Securities and Investor Protection Act.

There are Recent Customer Complaints with Broker Robert Earls in Firm LPL Financial LLC

June 18, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Earls (Earls), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Earls 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 $10,000.00 on May 12, 2025.

July 2017

There are Recent Customer Complaints with Broker Charles Weldon in Firm Independent Financial Group, LLC

June 18, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Charles Weldon (Weldon), currently associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Weldon 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 $400,000.00 on May 16, 2025.

Allege representative violated rules and industry standards of conduct resulting in losses

There are Recent Customer Complaints with Broker Joseph Maukonen in Firm Park Avenue Securities LLC

June 17, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on June 21, 2023.

The client alleges the financial advisor failed to follow instructions to invest funds in his IRA account in October 2022.

There are Recent Customer Complaints with Broker Jason Wetsel in Firm LPL Financial LLC

June 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jason Wetsel (Wetsel), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Wetsel 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 $60,000.00 on June 22, 2023.

Customer alleged unsuitable recommendations (4/16/14-3/29/23)