Reg BI

There are Recent Customer Complaints with Broker Luke Lannister in Firm Grove Point Investments, LLC

July 11, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Luke Lannister (Lannister), previously associated with Grove Point Investments, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Lannister 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 $150,000.00 on August 29, 2023.

Client alleges that Financial Professional misrepresented a transaction-based compensation arrangement as a performance-based compensation arrangement, placed discretionary trades without the client’s prior permission, and churned the client’s account. Timeframe is May 25, 2022 to May 25, 2023.

There are Recent Customer Complaints with Broker Jerome Aron in Firm LPL Financial LLC

July 11, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jerome Aron (Aron), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Aron 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 $50,000.00 on August 28, 2023.

The representative misrepresented the features of the product sold to the customer in 2019.

There are Recent Customer Complaints with Broker James Jones in Firm Center Street Securities, INC.

July 11, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Jones (Jones), previously associated with Center Street Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Jones 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 August 28, 2023.

Client alleges registered representative recommended an unsuitable investment.

Broker Angel Ferrer in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

July 11, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Angel Ferrer (Ferrer), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Ferrer 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 $56,000,000.00 on August 24, 2023.

Claimants allege breach of fiduciary duty, negligence, fraud, breach of contract, third party beneficiary breach of contract, violation of Regulation BI, and negligent supervision related to alleged failure to provide advice on a concentrated position and alleged recommendation to use a line of credit to further concentrate their assets.

There are Recent Customer Complaints with Broker Eric Duncan in Firm Moloney Securities Co., INC.

July 11, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eric Duncan (Duncan), currently associated with Moloney Securities Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Duncan 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 $196,000.00 on August 23, 2023.

Suitability/negligence. 2016-2019.

There are Recent Customer Complaints with Broker Eric Kiblen in Firm Purshe Kaplan Sterling Investments

July 11, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eric Kiblen (Kiblen), currently associated with Purshe Kaplan Sterling Investments, has at least one disclosable event. These events include one customer complaint, alleging that Kiblen 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 $25,000.00 on August 23, 2023.

Client alleges unsuitable investments, breach of fiduciary duty and negligence regarding the sale of Griffin Capital REIT II and Northstar Healthcare that was effected in 2015.

There are Recent Customer Complaints with Broker Michael Beers in Firm Morgan Stanley

July 11, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Beers (Beers), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Beers 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 August 29, 2023.

Claimant alleges, inter alia, unsuitability with respect to variable annuity investment- June 2021 to Feb 2024

Broker Michael Hardy in UBS Financial Services INC. Firm Has Customer Complaint

July 11, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Hardy (Hardy), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Hardy 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 $11,053.00 on August 25, 2023.

Time Frame: December 23rd 2021 to July 16th 2022\, \, What were the allegations against the individual: The POA alleges unsuitability in that the investments did not align with the client’s investment risk profile.

Broker Raymond Byers in UBS Financial Services INC. Firm Has Customer Complaint

July 11, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Raymond Byers (Byers), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Byers 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 $600,000.00 on August 22, 2023.

Time frame: March 2020 through mid-2022\, \, Allegations: Clients allege unsuitability and misrepresentation in connection with a put options writing strategy, which resulted in principal losses.

Broker Brian Radoo in Union Capital Company Firm Has Customer Complaint

July 11, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Radoo (Radoo), previously associated with Union Capital Company, has at least one disclosable event. These events include one customer complaint, alleging that Radoo 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 August 29, 2023.

Beginning in 2016, the claimant alleges registered representative solicited claimants to invest in his cannabis cultivation company outside of the firm.