Reg BI

There are Recent Customer Complaints with Broker Rebecca Gaylor in Firm J.w. Cole Financial, INC.

May 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Rebecca Gaylor (Gaylor), currently associated with J.w. Cole Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Gaylor 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 07, 2025.

Trustee alleged breach of fiduciary duty, unsuitable recommendation, and misrepresentation of investment regarding an oil and gas limited partnership purchased over ten years ago.

Broker Charles Weldon in Independent Financial Group, LLC Firm Has Customer Complaint

May 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Charles Weldon (Weldon), currently associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Weldon 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 $500,000.01 on March 10, 2025.

Alleges representative of record utilized an unsuitable investment strategy and recommendations, resulting in losses. Alleges that there was a failure to adequately supervise the representative by the broker dealers involved.

Broker Thomas Kirwan 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 Thomas Kirwan (Kirwan), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kirwan recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on March 07, 2025.

The clients complain that the Financial advisor did not explain the fees and commissions that would be associated with newly opened accounts. (5/13/2025-3/7/2025)

There are Recent Customer Complaints with Broker David Miller in Firm Northwestern Mutual Investment Services, LLC

May 20, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on March 14, 2025.

Client alleges that in March 2024, her representative changed her account settings by changed her dividends and capital gains from cash to reinvest without her permission.

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

May 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christian Talavera (Talavera), previously associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Talavera 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 $20,000.00 on March 13, 2025.

Customer alleges FA failed to follow instructions in February 2025.

Broker Drew Weinberger in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

May 20, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on March 15, 2025.

Client alleges failure to follow instructions in January 2025.

There are Recent Customer Complaints with Broker Heather Devito in Firm Pruco Securities, LLC.

May 20, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on March 14, 2025.

The company is currently investigating this matter and will file an amendment to disclose the outcome.

There are Recent Customer Complaints with Broker Sherri Desjardins in Firm Centaurus Financial, INC.

May 20, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on March 14, 2025.

The customers allege that in 2019, the Registered Representative recommended and misrepresented unsuitable, high-risk, speculative and illiquid investments.

There are Recent Customer Complaints with Broker Aaron Davis in Firm Edward Jones

May 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Aaron Davis (Davis), currently associated with Edward Jones, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Davis 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 $30,000,000.00 on March 17, 2025.

Claimant alleges concentrated positions in Retractable Technologies Inc. were mishandled relative to margin.

There are Recent Customer Complaints with Broker Juan Goytia in Firm UBS Financial Services Incorporated of Puerto Rico

May 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Juan Goytia (Goytia), previously associated with UBS Financial Services Incorporated of Puerto Rico, has at least one disclosable event. These events include one customer complaint, alleging that Goytia 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 14, 2025.

Time frame: 2010-Present\, \, Allegations: Claimants allege that the recommendation to invest in and hold Puerto Rico closed-end funds was unsuitable and that their UBS account was over-concentrated in these investments. They also allege that the risks of investing in and concentrating in PR investments were misrepresented.