Reg BI

Broker Daniel Jossen in Nylife Securities LLC Firm Has Customer Complaint

February 12, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Jossen (Jossen), previously associated with Nylife Securities LLC, has at least 5 disclosable events. These events include 4 customer complaints, one regulatory event, alleging that Jossen recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on June 25, 2021.

Without admitting or denying the findings, Jossen consented to the sanction and to the entry of findings that he refused to produce information requested by FINRA in connection with a Form U5 filed for him, explaining that he was permitted to resign after it was discovered he solicited business in a jurisdiction in which he was not licensed, misrepresented the terms of variable products and maintained client log-in credentials in an outside brokerage account to process financial transactions.

There are Recent Customer Complaints with Broker Todd Mulligan in Firm Morgan Stanley

February 12, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a award / judgment customer complaint with a damage request of $972,124.00 on June 25, 2021.

Mulligan was a subject of the customer’s complaint against his member firm that asserted the following causes of action: violation of FINRA Rule 2111; breach of duty; and violation of M.G.L. C. 93A.

Broker Allan Fiore in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

February 12, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Allan Fiore (Fiore), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Fiore 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 $963,620.00 on June 23, 2021.

The customer alleges that the Financial Advisor placed her in an unsuitable investment strategy, made misrepresentations and made unauthorized trades in the account.

Broker James Beaudoin in Great Point Capital LLC Firm Has Customer Complaint

February 12, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on June 21, 2021.

The clients allege the investments they purchased from 2014-2019 were unsuitable and misrepresented by the representative. The client also alleges the firm failed to conduct adequate due diligence and had an inadequate supervisory system.

There are Recent Customer Complaints with Broker Jeffrey Kiesnoski in Firm Concorde Investment Services, LLC

February 12, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Kiesnoski (Kiesnoski), currently associated with Concorde Investment Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Kiesnoski 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 $8,761.00 on June 23, 2021.

Claim alleges breach of contract, breach of duty of good faith and fair dealing, breach of fiduciary duty relating to an alleged hold recommendation given to the investor.

There are Recent Customer Complaints with Broker Carl Ishikawa in Firm Nylife Securities LLC

February 12, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on June 28, 2021.

Customer alleges the registered product he purchased in January 2015 did not meet his retirement needs at the time of sale and the product contains high fees and fewer investment options that would not allow him to invest his funds without a penalty.

Broker Lisa Matthews in Morgan Stanley Firm Has Customer Complaint

February 12, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a award / judgment customer complaint with a damage request of $972,124.00 on June 25, 2021.

Matthews was a subject of the customer’s complaint against her member firm that asserted the following causes of action: violation of FINRA Rule 2111; breach of duty; and violation of M.G.L. C. 93A.

Broker Scott Royal in Northwestern Mutual Investment Services, LLC Firm Has Customer Complaint

February 12, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Scott Royal (Royal), currently associated with Northwestern Mutual Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Royal 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 $6,000,000.00 on June 22, 2021.

Customers alleging the representative provided them with unsuitable investment advice, that the representative breached his fiduciary duty and contract, that the funds held in the variable life insurance policies were not as they requested and, that the representative failed to follow instructions. The representative denies these allegations.

Broker Stephen Carrione in LPL Financial LLC Firm Has Customer Complaint

February 12, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on June 28, 2021.

Claimants allege their former advisor made unsuitable trades in their managed accounts including investments in low priced securities and speculative companies. The Claimants further allege their advisor exacerbated the risk in their accounts by trading options and utilizing margin. They request unspecified damages.

There are Recent Customer Complaints with Broker Frank Spiccati in Firm Bb & t Securities, LLC

February 12, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Frank Spiccati (Spiccati), previously associated with Bb & t Securities, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Spiccati 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 $70,000.00 on June 24, 2021.

Claimant alleges the financial professional recommended he invest in a REIT and a Business Development Company which were unsuitable for his investment portfolio.