Reg BI

Broker Jie Zheng in Allied Millennial Partners, LLC Firm Has Customer Complaint

May 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jie Zheng (Zheng), previously associated with Allied Millennial Partners, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Zheng 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 05, 2025.

Unsuitability recommendation of a REIT. No activity dates listed in SOC/Initial review indicates transactions at issue took place in 2015.

There are Recent Customer Complaints with Broker Steven Nielsen in Firm Centaurus Financial, INC.

May 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven Nielsen (Nielsen), currently associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Nielsen 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 $65,000.00 on February 21, 2025.

The customer alleges that the Registered Representative recommended an unsuitable, highly speculative and illiquid investment. No specific dates for the alleged activity were identified in the Statement of Claim.

Broker Chris Dibari in Pnc Investments Firm Has Customer Complaint

May 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Chris Dibari (Dibari), currently associated with Pnc Investments, has at least one disclosable event. These events include one customer complaint, alleging that Dibari 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 $384,779.66 on March 10, 2025.

Client allege the representative’s recommendations were inconsistent with their investment objectives, and he did not accurately explain product features.

There are Recent Customer Complaints with Broker Athanasios Tomaras in Firm R. F. Lafferty & Co., INC.

May 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Athanasios Tomaras (Tomaras), currently associated with R. F. Lafferty & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Tomaras 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 February 18, 2025.

Unsuitable investments. Sell order not followed.

There are Recent Customer Complaints with Broker T Thompson in Firm Truist Investment Services, INC.

May 21, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 10, 2025.

Client was concerned that their account was losing money during times of economic growth based on representatives’ advice.

Broker Philip Jefferson in Wells Fargo Clearing Services, LLC Firm Has Customer Complaint

May 21, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on February 14, 2025.

Client complained the recommendation to purchase investment was not suitable. (1/28/2025-3/21/2025)

Broker Robert Omohundro in Alexander Capital, L.p. Firm Has Customer Complaint

May 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Omohundro (Omohundro), currently associated with Alexander Capital, L.p., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Omohundro 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 $30,000.00 on March 12, 2025.

Customer alleges unsuitability. June 2021

There are Recent Customer Complaints with Broker Angel Canabal in Firm UBS Financial Services INC.

May 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Angel Canabal (Canabal), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Canabal 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 $400,000.00 on March 10, 2025.

Time frame: \, Plaintiffs allege that their respective financial advisors recommended that they purchase and/or continue to hold Puerto Rico bonds and Puerto Rico closed-end bond funds, and omitted and misrepresented the risks of said securities, despite Puerto Rico’s deteriorating financial condition, resulting in losses when the Puerto Rico bond market collapsed in 2013.

There are Recent Customer Complaints with Broker Christopher Roberts in Firm U.S. Bancorp Investments, INC.

May 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Roberts (Roberts), currently associated with U.S. Bancorp Investments, INC., has at least one disclosable event. These events include one customer complaint, alleging that Roberts 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 $18,000.00 on February 26, 2025.

Customer alleges that the premium he was told was $18,000 short.

Broker Donald Peterson in Nylife Securities LLC Firm Has Customer Complaint

May 21, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on March 11, 2025.

Customer alleges that the Variable Annuity policy purchased in December 2024 using funds transferred from his SIMPLE IRA was not clearly understood to be a new type of investment. He had originally intended to exchange positions within his existing SIMPLE IRA and requests the funds to be returned to his SIMPLE IRA.