Reg BI

Broker Tim Ridley in Wells Fargo Clearing Services, LLC Firm Has Customer Complaint

April 28, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on July 06, 2020.

Client complained that Financial Advisor did not do enough due diligence for now defaulted bonds to determine that the bonds he recommended were for issuers of which he specifically does not invest. (6/14/2018-12/13/2018)

Broker Robert Denouden in Sagepoint Financial, INC. Firm Has Customer Complaint

April 28, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on July 09, 2020.

The clients allege the investments purchased between 2003-2015 were illiquid and not suitable for them. In addition, the clients allege the product sponsor’s offerings were misrepresented. The client also alleges the firm was negligent and failed to conduct adequate due diligence.

Broker Christopher Calandra in Osaic Wealth, INC. Firm Has Customer Complaint

April 28, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Calandra (Calandra), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Calandra 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 $40,000.00 on July 17, 2020.

Unsuitable investment recommendation is alleged

There are Recent Customer Complaints with Broker Payam Taghibagi in Firm Signature Estate Securities, LLC

April 28, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Payam Taghibagi (Taghibagi), currently associated with Signature Estate Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Taghibagi 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 $5,000.00 on July 07, 2020.

Customer alleges that Representative recommended unsuitable investments resulting in losses.

There are Recent Customer Complaints with Broker Michael Mcnulty in Firm Osaic Wealth, INC.

April 28, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on July 09, 2020.

Client alleges advisor recommended unsuitable investments. Allegation Activity Dates: 2011 – 2016.

There are Recent Customer Complaints with Broker William Steves in Firm Osaic Wealth, INC.

April 28, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Steves (Steves), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Steves 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 $50,000.00 on July 15, 2020.

Claimant alleges that Mr. Steve’s failed to move one hundred percent of his portfolio to cash.

There are Recent Customer Complaints with Broker Gregory Tucker in Firm D.a. Davidson & CO.

April 28, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gregory Tucker (Tucker), previously associated with D.a. Davidson & CO., has at least one disclosable event. These events include one customer complaint, alleging that Tucker 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 $1,500,000.00 on July 07, 2020.

Client asserts statutory and common-law claims for alleged unsuitable recommendations to purchase and hold bonds during the period from 2009 to 2017. Many of the bonds were investment-grade when purchased, and beginning in 2011, shortly after the bonds were purchased, Client transferred them away from the Firm to an unrelated, outside brokerage firm. Client asserts $1.5 MM in damages, despite net proft at Firm of over $400K.

Broker Thomas Kieffer in Ceros Financial Services, INC. Firm Has Customer Complaint

April 28, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Kieffer (Kieffer), previously associated with Ceros Financial Services, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Kieffer 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 $135,000.00 on July 07, 2020.

Customer filed a deficiency notice 7/2/2020 claiming breach of duties by Thomas Kieffer

There are Recent Customer Complaints with Broker James Connell in Firm Mid-atlantic Securities, INC.

April 28, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on July 14, 2020.

Client alleged that loans were made to Plymouth Farms at the recommendation of RR, who is now deceased. RR allegedly misrepresented the financial condition of the investment.

There are Recent Customer Complaints with Broker Marcio Moraes Marciano Da Rocha in Firm Insigneo Securities, LLC

April 27, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Marcio Moraes Marciano Da Rocha (Moraes Marciano Da Rocha), previously associated with Insigneo Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Moraes Marciano Da Rocha 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 $4,694,912.00 on July 21, 2020.

Claimant alleges, inter alia, that the recommendation to invest in a risky option strategy was misrepresented and unsuitable for them from November 15, 2019 to March 31, 2020.