Reg BI

There are Recent Customer Complaints with Broker James Cassa in Firm LPL Financial LLC

May 26, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on March 19, 2024.

Customers allege they suffered unexpected tax liabilities as a result of investment recommendations to surrender their variable annuities. Time period November 2021 to April 2023.

Broker Ryan Leblanc in LPL Financial LLC Firm Has Customer Complaint

May 26, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on March 19, 2024.

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

There are Recent Customer Complaints with Broker Jerry Kiefer in Firm Equitable Advisors, LLC

May 26, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jerry Kiefer (Kiefer), currently associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kiefer 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 $99,000.00 on March 18, 2024.

Claimants allege RR Kiefer recommended unsuitable alternative investments.

Broker Marc Minor in Osaic Wealth, INC. Firm Has Customer Complaint

May 26, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Marc Minor (Minor), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Minor 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 $75,000.00 on March 18, 2024.

Claimant alleges unsuitable recommendation and sale of alternative investment and unauthorized trading of bond portfolio.

Broker Michael Lynch in LPL Financial LLC Firm Has Customer Complaint

May 26, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on March 19, 2024.

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

There are Recent Customer Complaints with Broker Stephen Bush in Firm Capital Investment Group, INC.

May 26, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on March 18, 2024.

Per the Form U5 filed by LPL Financial, the customers allege that investments made in 2014 were unsuitable for their father’s investment objectives and risk tolerance.

There are Recent Customer Complaints with Broker Robert Palatella in Firm Wells Fargo Clearing Services, LLC

May 26, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Palatella (Palatella), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Palatella 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 March 19, 2024.

Claimant alleges that in 2021, the Financial Advisor made unsuitable securities recommendations for her investment experience and risk tolerance.

There are Recent Customer Complaints with Broker Danette Volpenhein in Firm State Farm Vp Management Corp.

May 25, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Danette Volpenhein (Volpenhein), currently associated with State Farm Vp Management Corp., has at least one disclosable event. These events include one customer complaint, alleging that Volpenhein 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 $56,000.00 on March 20, 2024.

The tax benefit was not explained properly.

There are Recent Customer Complaints with Broker Eric Garcia in Firm Osaic Institutions, INC.

May 25, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eric Garcia (Garcia), currently associated with Osaic Institutions, INC., has at least one disclosable event. These events include one customer complaint, alleging that Garcia 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 $105,000.00 on March 21, 2024.

As a result of Respondent’s failure to conduct due diligence on PBIHL and as a result of\, Respondent’s recommendation of a high-risk speculative product that placed Claimant’s savings\, severely at risk,

Broker Edward Prince in Moloney Securities Co., INC. Firm Has Customer Complaint

May 25, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Edward Prince (Prince), currently associated with Moloney Securities Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Prince 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 $140,000.00 on March 22, 2024.

Suitability/negligence. 2021