Reg BI

There are Recent Customer Complaints with Broker Mark French in Firm UBS Financial Services INC.

December 1, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 30, 2022.

Time Frame: January 3, 2022 to March 30, 2022 \, \, The client alleges his Financial Advisor failed to invest the account as instructed. The alleged damages are alleged to be estimated to be in excess of $5,000.00.

Broker William Buikema in Nylife Securities LLC Firm Has Customer Complaint

December 1, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 31, 2022.

Customer alleges that on January 24, 2022, 50 shares of TESLA Stock were sold without her authorization. Customer wishes to be made whole.

Broker Daniel Wildermuth in Wildermuth Securities, LLC Firm Has Customer Complaint

December 1, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on April 07, 2022.

Unsuitable investment, breach of fiduciary duty, negligence, breach of contract, and failure to supervise.

Broker Beverly Cox in LPL Financial LLC Firm Has Customer Complaint

December 1, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Beverly Cox (Cox), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Cox 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 $44,924.00 on March 29, 2022.

Client alleges she received poor advice from her representative sometime in 2021 related to indirect rollover transactions which created a large tax liability.

There are Recent Customer Complaints with Broker David Howard in Firm PFS Investments INC.

December 1, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Howard (Howard), currently associated with PFS Investments INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Howard recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on April 05, 2022.

The customer surrendered a non-qualified variable annuity and received a form 1099-r with a taxable amount for more than she had been told to expect for tax year 2021.

Broker Jeffrey Mayotte in Momentum Independent Network INC. Firm Has Customer Complaint

December 1, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a award / judgment customer complaint with a damage request of $47,053.15 on March 31, 2022.

Mayotte was a subject of the customer’s complaint against his member firm that asserted the following causes of action: negligence, unsuitability, and failure to supervise.

Broker Larry Sfinas in Trustmont Financial Group, INC. Firm Has Customer Complaint

December 1, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Larry Sfinas (Sfinas), previously associated with Trustmont Financial Group, INC., has at least one disclosable event. These events include one customer complaint, alleging that Sfinas 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 $5,000.00 on April 08, 2022.

Customer alleges that representative made unsuitable investment recommendations resulting in losses.

There are Recent Customer Complaints with Broker Danniel Kazi in Firm Allstate Financial Services, LLC

November 30, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Danniel Kazi (Kazi), previously associated with Allstate Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kazi 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 $20,415.00 on April 12, 2022.

Client’s family member alleged that the Representative’s recommended liquidation and subsequent investment with the proceeds were not in the client’s best interest based on the tax implications and the sales load. Following the firm’s review, the extent of the Rep’s disclosure of the taxable consequences was unclear. As a result, the matter was resolved through a settlement with the client for the reimbursement of tax consequence and the sales load. Payment to the client of $20,415 was completed on 7/8/22.

Broker William Schumaker in Principal Securities, INC. Firm Has Customer Complaint

November 30, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Schumaker (Schumaker), currently associated with Principal Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Schumaker 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 $7,447.50 on April 13, 2022.

Client alleges the representative recommended a VUL policy that was unsuitable, and she has asked for the surrender charges on the policy to be waived.

There are Recent Customer Complaints with Broker Kelly Otoole in Firm Wells Fargo Clearing Services, LLC

November 30, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on April 12, 2022.

Client complained that delay in executing liquidation instruction caused losses because time window closed and trade could not be executed until next window opened. (11/1/2021-4/12/2022)