Articles Posted in Reg BI

| by

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

FINRA BrokerCheck shows a settled customer complaint on June 05, 2020.

Client alleges his instructions to purchase two (2) equity investments were not acted on.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Marie Turino (Turino), currently associated with Valic Financial Advisors, INC., has at least one disclosable event. These events include one customer complaint, alleging that Turino 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 $750,000.00 on June 03, 2020.

Complainant purchased a variable annuity in December of 2015, and alleges the registered representative misrepresented the product as a long term guaranteed retirement vehicle. Complainant claims the misleading information has led to significant losses within his annuity putting his retirement income in jeopardy.

Continue Reading

| by

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

FINRA BrokerCheck shows a settled customer complaint on June 02, 2020.

Claimants allege, inter alia, unsuitability with respect to investments – July 2013 to April 2020

Continue Reading

| by

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

FINRA BrokerCheck shows a settled customer complaint on June 03, 2020.

The client alleged the registered representative processed trades in his American Funds account without his authorization in March of 2020.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Dillman (Dillman), previously associated with Trustmont Financial Group, INC., has at least one disclosable event. These events include one customer complaint, alleging that Dillman 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 $375,717.00 on June 02, 2020.

2012- June 2017, alleged unsuitable securities, common law fraud, breach of fiduciary duty, unjust enrichment, the failure to supervise, and violation of the Pennsylvania Unfair Trade Practices and Consumer Protection Law

Continue Reading

| by

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

FINRA BrokerCheck shows a settled customer complaint on June 02, 2020.

Claimants allege, inter alia, unsuitability with respect to investments – July 2013 to April 2020

Continue Reading

| by

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

FINRA BrokerCheck shows a settled customer complaint on June 05, 2020.

Client complained the financial advisor liquidated certain assets without her authorization. (10/28/2019)

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Curtis Howard (Howard), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, 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 with a damage request of $5,015.00 on June 04, 2020.

Customer alleges failure to follow instructions. Activity period:  2/12/20 to 6/4/20.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Thon (Thon), previously associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Thon 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 $250,000.00 on June 05, 2020.

The Customer alleges unsuitable investment recommendations and misrepresentation.

Continue Reading

| by

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

FINRA BrokerCheck shows a settled customer complaint on June 05, 2020.

Customer alleged that i failed to follow his instructions regarding the transfer-in-kind of his investments.

Continue Reading
Contact Information
295 Madison Ave #705
New York, NY 10017
Toll Free: 800-810-4262
3706 N Greenview Ave
#100
Chicago, IL 60613
28 Valley Rd
#1
Montclair, NJ 07042
ATTORNEY ADVERTISING

Please do not include any confidential or sensitive information in a contact form, text message, or voicemail. The contact form sends information by non-encrypted email, which is not secure. Submitting a contact form, sending a text message, making a phone call, or leaving a voicemail does not create an attorney-client relationship.

Copyright © 2026, Gana Weinstein LLP
JUSTIA Law Firm Blog Design