Reg BI

Broker Stephen Allex in Ameriprise Financial Services, LLC Firm Has Customer Complaint

February 13, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stephen Allex (Allex), previously associated with Ameriprise Financial Services, LLC, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Allex 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 $100,000.00 on June 18, 2021.

Claimant alleges former registered representative recommended unsuitable investments.

There are Recent Customer Complaints with Broker Johnson Andrews in Firm Cetera Investment Services LLC

February 13, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Johnson Andrews (Andrews), previously associated with Cetera Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Andrews 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 $300,000.00 on June 14, 2021.

The claimant alleges that she told a Rep to treat funds in her mother’s account as an inherited fund and invest speculatively for faster growth. Upon her mother’s passing, she assessed the investment returns and is unhappy with the investments chosen. Client alleges TIAA used the wrong date for the cost basis resulting in significant capital gains.

There are Recent Customer Complaints with Broker Shawn Davis in Firm Independent Financial Group, LLC

February 13, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Shawn Davis (Davis), previously associated with Independent Financial Group, LLC, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Davis 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 $5,001.00 on June 14, 2021.

Allege investment in a high concentration of high-risk, illiquid invesments which was not suitable

Broker Salvatore Pizzimenti in Worden Capital Management LLC Firm Has Customer Complaint

February 13, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Salvatore Pizzimenti (Pizzimenti), previously associated with Worden Capital Management LLC, has at least 3 disclosable events. These events include 2 customer complaints, one regulatory event, alleging that Pizzimenti recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on June 11, 2021.

Without admitting or denying the findings, Pizzimenti consented to the sanction and to the entry of findings that he refused to provide on-the-record testimony in connection with FINRA’s investigation into his trading of customer accounts

Broker Joseph Gebron in Sw Financial Firm Has Customer Complaint

February 13, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Gebron (Gebron), previously associated with Sw Financial, has at least one disclosable event. These events include one customer complaint, alleging that Gebron 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 $145,840.00 on June 11, 2021.

Unauthorized trading & suitability

There are Recent Customer Complaints with Broker Anthony Mediate in Firm Legend Securities, INC.

February 13, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Anthony Mediate (Mediate), previously associated with Legend Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Mediate 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 $48,595.00 on June 11, 2021.

Unauthorized tradng & suitability

Broker Matthew Kane in Keel Point Capital, LLC Firm Has Customer Complaint

February 13, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Kane (Kane), currently associated with Keel Point Capital, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kane 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 $113,797.00 on June 16, 2021.

Client claimed that due to the investment reccomendations of the Firm, he was burdened with unnecessary tax and medicare increases.

There are Recent Customer Complaints with Broker Peter Faggioni in Firm Rothschild Lieberman LLC

February 13, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Peter Faggioni (Faggioni), previously associated with Rothschild Lieberman LLC, has at least one disclosable event. These events include one customer complaint, alleging that Faggioni 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 $200,000.00 on June 11, 2021.

Unauthorized trading & suitability

Broker Thomas Beyer in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

February 13, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Beyer (Beyer), previously associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Beyer 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 $128,000.00 on June 14, 2021.

Suitability

There are Recent Customer Complaints with Broker Philip Nuccetelli in Firm Equitable Advisors, LLC

February 13, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on June 18, 2021.

Client verbally complained that some of the terms of his variable annuity purchased in 2014 were not properly disclosed.