Reg BI

Broker Russell Jones in Sagepoint Financial, INC. Firm Has Customer Complaint

May 4, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Russell Jones (Jones), previously associated with Sagepoint Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Jones 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 $25,000.00 on May 13, 2024.

It is alleged that unsuitable investments were recommended and that disclosures of risks were not adequate

There are Recent Customer Complaints with Broker Gary Leavitt in Firm American Trust Investment Services, INC.

May 4, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gary Leavitt (Leavitt), previously associated with American Trust Investment Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Leavitt 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 $5,000,000.00 on May 07, 2024.

Common Law Fraud, Breach of Fiduciary Duty, Failure to Supervise, Negligence

There are Recent Customer Complaints with Broker Connor Day in Firm Ameriprise Financial Services, LLC

May 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Connor Day (Day), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Day 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 $20,345.35 on May 17, 2024.

The client alleged 3 stocks were traded in January 2024 that deviated from the agreed upon plan that was made between the advisor and client.

There are Recent Customer Complaints with Broker Mark Bloom in Firm Avantax Investment Services, INC.

May 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Bloom (Bloom), currently associated with Avantax Investment Services, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Bloom 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 $160,000.00 on May 20, 2024.

Customer alleged the investments they purchased were not suitable.

There are Recent Customer Complaints with Broker Syed Ahmed in Firm Raymond James (usa) Ltd.

May 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Syed Ahmed (Ahmed), currently associated with Raymond James (usa) Ltd., has at least one disclosable event. These events include one customer complaint, alleging that Ahmed 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 $35,103.28 on May 16, 2024.

Client alleged that financial advisor improperly advised surrender of variable annuity, on or about December, 2022 through March, 2023, in order to transfer asset proceeds into investment advisory account.

Broker Meredith Lyon in United Planners’ Financial Services of America A Limited Partner Firm Has Customer Complaint

May 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Meredith Lyon (Lyon), currently associated with United Planners’ Financial Services of America A Limited Partner, has at least one disclosable event. These events include one customer complaint, alleging that Lyon 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 $99,999.00 on May 17, 2024.

Breach of fiduciary Duty, violation of NASD and NYSE Rules, Breach of Contract and Negligence,

Broker Stanley Wilhelm in Sequence Financial Specialists LLC Firm Has Customer Complaint

May 3, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on May 17, 2024.

Respondent Sequence and its agents, including the Individual Respondents, represented themselves to the Claimants as an expert in investing as well as tax and retirement planning. Respondent touted the benefits of conservation easement investments as a reliable tax saving strategy. Claimants were assured that the conservation easement investments offered the best of both worlds.

Broker Guillermo Eiben in UBS Financial Services INC. Firm Has Customer Complaint

May 3, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on May 16, 2024.

Client alleged that the investment strategy implemented in his accounts was not in his best interest 2014-2023.

Broker Antoine Abi Nader in Western International Securities, INC. Firm Has Customer Complaint

May 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Antoine Abi Nader (Abi Nader), currently associated with Western International Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Abi Nader 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 May 17, 2024.

Customer alleges that investment recommendation was unsuitable and misrepresented.

There are Recent Customer Complaints with Broker William Grady in Firm Sequence Financial Specialists LLC

May 3, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on May 17, 2024.

Respondent Sequence and its agents, including the Individual Respondents, represented themselves to the Claimants as an expert in investing as well as tax and retirement planning. Respondent touted the benefits of conservation easement investments as a reliable tax saving strategy. Claimants were assured that the conservation easement investments offered the best of both worlds.