Reg BI

Broker Walter Brown in Equitable Advisors, LLC Firm Has Customer Complaint

May 19, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Walter Brown (Brown), currently associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Brown 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 $5,000.00 on March 18, 2025.

Customer alleges RR forged their signature on brokerage account applications issued 11/2024.

There are Recent Customer Complaints with Broker David Sosa in Firm Cetera Investment Services LLC

May 19, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Sosa (Sosa), currently associated with Cetera Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Sosa 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 $98,500.00 on March 17, 2025.

Claimant alleges unsuitable investment recommendations which resulted in losses.

Broker Robert Vance in Moloney Securities Co., INC. Firm Has Customer Complaint

May 19, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Vance (Vance), previously associated with Moloney Securities Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Vance 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 March 17, 2025.

Suitability/negligence. 2018.

There are Recent Customer Complaints with Broker Juan Barrios in Firm PFS Investments INC.

May 19, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on March 20, 2025.

Client alleged I misrepresented the features of her variable annuity contract.

Broker David White in Centaurus Financial, INC. Firm Has Customer Complaint

May 19, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David White (White), previously associated with Centaurus Financial, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that White 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 $160,000.00 on March 18, 2025.

The customer alleges that in 2015, 2017 and in 2019, the Registered Representative recommended and misrepresented unsuitable, high-risk, and illiquid investments.

Broker Wayne Hurley in Cetera Advisor Networks LLC Firm Has Customer Complaint

May 19, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Wayne Hurley (Hurley), currently associated with Cetera Advisor Networks LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hurley 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 $73,365.81 on March 20, 2025.

Customer alleges that the Financial Professional failed to act in their best interest.

Broker Michael Wroten in PFS Investments INC. Firm Has Customer Complaint

May 19, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Wroten (Wroten), currently associated with PFS Investments INC., has at least one disclosable event. These events include one customer complaint, alleging that Wroten 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 $18,018.87 on March 18, 2025.

Customer alleges trade instructions were not timely submitted, resulting in decreased account value due to market fluctuation.

There are Recent Customer Complaints with Broker Reynold Neufeld in Firm Centaurus Financial, INC.

May 19, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Reynold Neufeld (Neufeld), previously associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Neufeld 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 $95,000.00 on March 17, 2025.

The customer alleges that in 2019 and 2020, the Registered Representative recommended unsuitable, high-risk, complex and illiquid investments.

There are Recent Customer Complaints with Broker Shalom Azar in Firm Morgan Stanley

May 18, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on March 26, 2025.

Client alleges investment recommended by fa team was unsuitable 2024 damages unspecified

There are Recent Customer Complaints with Broker Natalia Avila in Firm Merrill Lynch, Pierce, Fenner & Smith Incorporated

May 18, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on March 21, 2025.

Customer alleges misrepresentation regarding guarantees on municipal bond investment.