Reg BI

There are Recent Customer Complaints with Broker Kevin O’sullivan in Firm Commonwealth Financial Network

May 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin O’sullivan (O’sullivan), currently associated with Commonwealth Financial Network, has at least one disclosable event. These events include one customer complaint, alleging that O’sullivan 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 $300,000.00 on September 19, 2024.

Claimant alleges the RR recommended an unsuitable Oil & Gas investment.

Broker Timothy O’brien in Ausdal Financial Partners, INC. Firm Has Customer Complaint

May 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Timothy O’brien (O’brien), currently associated with Ausdal Financial Partners, INC., has at least one disclosable event. These events include one customer complaint, alleging that O’brien 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 $220,000.00 on October 10, 2024.

Breach of fiduciary duty, negligence, breach of contract, negligent supervision, violation of applicable laws and industry rules; unsuitable recommendation

Broker Alex Love in Fidelity Brokerage Services LLC Firm Has Customer Complaint

May 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alex Love (Love), currently associated with Fidelity Brokerage Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Love 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 $250,000.00 on November 15, 2024.

Customer alleges that the registered representative made an unauthorized sale of stock.

Broker Jarrett Strickland in UBS Financial Services INC. Firm Has Customer Complaint

May 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jarrett Strickland (Strickland), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Strickland 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 $45,000.00 on September 26, 2024.

Time Frame: October 1st, 2021 to September 26th, 2024\, \, What were the allegations against the individual – Client verbally alleges that FA solicited him to invest in a financial arrangement in which the client sent $55,000 to form a partnership to purchase land for a housing development for the benefit of the FA, the client and a third party. Client now states that he has requested money back and the FA has not returned.

Broker John Starke in Centaurus Financial, INC. Firm Has Customer Complaint

May 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Starke (Starke), previously associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Starke 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 $28,000.00 on February 05, 2025.

The customer alleges that the Registered Representative recommended unsuitable, illiquid investments. No specific dates for the alleged activity were identified in the customer’s complaint.

There are Recent Customer Complaints with Broker Gregory Mccloskey in Firm Westpark Capital, INC.

May 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gregory Mccloskey (Mccloskey), previously associated with Westpark Capital, INC., has at least 4 disclosable events. These events include 4 customer complaints, alleging that Mccloskey 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 $200,000.00 on November 22, 2024.

Customers allege that their investment in GWG constituted material misrepresentations, a failure to conduct reasonable due diligence, a breach of fiduciary duty to act in the claimants’ best interest, unsuitable investments, failure to supervise, negligence and violation of state and federal securities laws.

Broker Darryl Cohen in Morgan Stanley Firm Has Customer Complaint

May 22, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on November 25, 2024.

Client alleged, inter alia, that the investment strategy implemented in his accounts was not in his best interests 2015 – 2021

Broker Dennis Azary in Finalis Securities LLC / Third Lake Associates, LLC Firm Has Customer Complaint

May 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dennis Azary (Azary), currently associated with Finalis Securities LLC / Third Lake Associates, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Azary 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 October 03, 2024.

Claimant [REDACTED] has alleged the following in connection with his purchase of interestsin Strategic Energy Assets VIII Access Fund, LLC: (1) breach of contract; (2) generalnegligence; (3) breach of fiduciary duty; and (4) violation of California Corporations Code.

Broker Richard Rappaport in Westpark Capital, INC. Firm Has Customer Complaint

May 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Rappaport (Rappaport), currently associated with Westpark Capital, INC., has at least one disclosable event. These events include one customer complaint, alleging that Rappaport 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 $130,000.00 on October 22, 2024.

Customer specifically alleges that as CEO of WestPark Capital I failed to establish, implement, and maintain an adequate system\, of supervision over Wimsatt and Wimsatt’s supervisor. In addition the customer claims as CEO I am liable for negligent supervision at WestPark.

There are Recent Customer Complaints with Broker Thomas Wrich in Firm & partners

May 22, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on October 13, 2024.

Arbitration: Claimant alleges that beginning in 2001, the advisory fees charged were misrepresented and excessive.\, Complaint: Client complains that the advisory fees charged have been higher than what she and the Financial Advisor agreed upon. (1/1/2003-6/7/2024)