Articles Posted in Reg BI

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

FINRA BrokerCheck shows a pending customer complaint on February 04, 2025.

Claimant alleges unsuitable investment recommendations which resulted in losses.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Harry Buckman (Buckman), currently associated with Buckman, Buckman & Reid, INC. / Mayhill Agency, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Buckman 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 $2,250,000.00 on December 24, 2024.

Excessive Trading 2017 – 2024

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

FINRA BrokerCheck shows a pending customer complaint on February 03, 2025.

The complainant alleges that in 2024, the rep was involved in a matter were a mutual fund was sold without the complainant’s authorization and the proceeds were used to purchase a different mutual fund.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Scott Morrison (Morrison), previously associated with Stillpoint Capital, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Morrison 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 $3,000,000.00 on January 09, 2025.

Customer alleges misuse of power of attorney to sell/manage client/operate fund assets, embezzling and misuse of customer assets, charging of unauthorized fees, breach of contract, and negligence.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joshua Thalacker (Thalacker), currently associated with Northwestern Mutual Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Thalacker 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 February 13, 2025.

Customer alleges that representative misrepresented the features of the variable universal life insurance policy and the policy was sold as a solution for retirement planning

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

FINRA BrokerCheck shows a pending customer complaint on February 13, 2025.

The client alleges unauthorized trades resulting in tax consequences.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Casale (Casale), currently associated with the Huntington Investment Company, has at least one disclosable event. These events include one customer complaint, alleging that Casale 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 $5,000.00 on February 05, 2025.

Client alleged that the advisor did not disclose the tax consequences of withdrawing funds from their IRA account.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jessica Healy (Healy), previously associated with Metropolitan Capital Investment Banc, INC., has at least one disclosable event. These events include one customer complaint, alleging that Healy 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 $163,672.00 on February 12, 2025.

Claimant alleges Healy made an unsuitable investment recommendation.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Scott Wedige (Wedige), currently associated with Northwestern Mutual Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Wedige 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 February 13, 2025.

Customer alleges that representative misrepresented the features of the variable universal life insurance policy and the policy was sold as a solution for retirement planning

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Samuel Bernard (Bernard), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bernard 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 $36,000.00 on February 14, 2025.

Customer alleges that the terms of a CD were misrepresented when sold to him in 2017.

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