Reg BI

There are Recent Customer Complaints with Broker Amy Charlson in Firm Edward Jones

June 2, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Amy Charlson (Charlson), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Charlson 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 $450,000.00 on February 20, 2024.

Claimants allege registered representative used incorrect information as the basis for her recommendation that the claimants could retire and calculate how much money the Claimants could withdraw monthly during retirement.

Broker Mark Katz in Aegis Capital Corp. Firm Has Customer Complaint

June 2, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Katz (Katz), currently associated with Aegis Capital Corp., has at least one disclosable event. These events include one customer complaint, alleging that Katz 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 $358,162.96 on February 20, 2024.

Client alleged transactions in fixed income securities were not authorized and inappropriate that created losses in his accounts in 2023.

Broker James Studinger in Kestra Investment Services, LLC Firm Has Customer Complaint

June 2, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Studinger (Studinger), currently associated with Kestra Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Studinger 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 February 20, 2024.

Claimants allege the financial professional recommended the sale of an unsuitable investments.

Broker Paul Volpe in LPL Financial LLC Firm Has Customer Complaint

June 2, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Paul Volpe (Volpe), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Volpe 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 February 20, 2024.

Claimants allege Mr. Volpe recommended the sale of unsuitable investments.

Broker James Mcdermott in Osaic Wealth, INC. Firm Has Customer Complaint

June 2, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on February 16, 2024.

As per Raymond James & Assocaites filing, clients allege every transaction involving the purchase or sale of a security in their Raymond James accounts violated the Illinois Securities Law.

There are Recent Customer Complaints with Broker Thomas Craft in Firm Lincoln Financial Advisors Corporation

June 2, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Craft (Craft), previously associated with Lincoln Financial Advisors Corporation, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Craft 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 February 16, 2024.

Claimant alleges the registered representative recommended an unsuitable oil and gas investment.

There are Recent Customer Complaints with Broker Kevin Paasch in Firm MML Investors Services, LLC

June 2, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Paasch (Paasch), currently associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Paasch 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 $1,133,740.00 on February 15, 2024.

It is alleged that in 2021, the rep didn’t sell and transfer assets as instructed, and later transferred money that had been in the customer’s joint account over to an account held by just one of the joint account holders, contrary to the instructions that had been given, resulting in financial harm.

Broker John Hibshman in Osaic Wealth, INC. Firm Has Customer Complaint

June 2, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Hibshman (Hibshman), currently associated with Osaic Wealth, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Hibshman 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 February 16, 2024.

Claimants allege their RR recommended an unsuitable Oil and Gas investment.

Broker James Siemonsma in Msec, LLC Firm Has Customer Complaint

June 2, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Siemonsma (Siemonsma), previously associated with Msec, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Siemonsma 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 February 20, 2024.

Claimants allege Mr. Siemonsma made an unsuitable recommendation for an alternative investment purchase.

There are Recent Customer Complaints with Broker Gregory Gann in Firm LPL Financial LLC

June 2, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gregory Gann (Gann), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Gann 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 $35,000.00 on February 15, 2024.

Customer alleges that an investment made in 2014 was unsuitable for the customer’s investment objectives and risk tolerance.