Reg BI

There are Recent Customer Complaints with Broker Mark Brooks in Firm Northwestern Mutual Investment Services, LLC

April 17, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on February 06, 2025.

Client alleged that her asset allocation was not appropriate for someone of her age

There are Recent Customer Complaints with Broker Victoria Conigliaro in Firm UBS Financial Services INC.

April 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Victoria Conigliaro (Conigliaro), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Conigliaro 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 $140,301.00 on February 07, 2025.

Time Frame: October 2nd, 2023 to June 28th, 2024\, What were the allegations against the individual? The attorney for Trustee alleges that transactions were made in the client’s account that were not in the best interest of the client and outside the normal withdrawal patterns. Attorney further alleges that no review was conducted to prevent the suspicious and unusual withdrawals resulting in depletion of the client’s account resulting in elder abuse.

There are Recent Customer Complaints with Broker Steven Spiesberger in Firm RBC Capital Markets, LLC

April 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven Spiesberger (Spiesberger), currently associated with RBC Capital Markets, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Spiesberger 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 $24,711.17 on February 12, 2025.

Trustee alleges excessive commissions for liquidation of Trust account.

Broker David Smith in Ausdal Financial Partners, INC. Firm Has Customer Complaint

April 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Smith (Smith), currently associated with Ausdal Financial Partners, INC., has at least one disclosable event. These events include one customer complaint, alleging that Smith 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 $3,870,000.00 on February 13, 2025.

Breach of Fiduciary Duty, Negligence and Reg BI, Failure to supervise.

Broker Maureen Bobilya in Park Avenue Securities LLC Firm Has Customer Complaint

April 16, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on February 20, 2025.

The customer alleges that the premium payments for whole life insurance policies for other policy owners were taken from her bank account without her authorization in April 2023.

Broker David Corry in Edward Jones Firm Has Customer Complaint

April 16, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Corry (Corry), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Corry 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 $5,220.00 on February 21, 2025.

Client alleges the financial advisor sold his Tesla shares without his authorization.

Broker Christopher Kirkland in Avantax Investment Services, INC. Firm Has Customer Complaint

April 16, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Kirkland (Kirkland), currently associated with Avantax Investment Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Kirkland 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 $52,500.00 on February 20, 2025.

The client’s attorney alleges that both advisor’s recommended an unsuitable invesment with Northstar Healthcare Income,Inc (REIT) in the amount of $50k. Damages request is for $50k and $2500 in attorney’s fees. \, Suitability of purchase 11/2014

Broker Katy Zhao in Morgan Stanley Firm Has Customer Complaint

April 16, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on February 21, 2025.

Client verbally alleged that their instructions to transfer the positions in their account in kind to the contra firm were not followed 2025

There are Recent Customer Complaints with Broker Matt Heintz in Firm Pnc Investments

April 16, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matt Heintz (Heintz), currently associated with Pnc Investments, has at least one disclosable event. These events include one customer complaint, alleging that Heintz 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 $13,627.00 on February 19, 2025.

Customer alleges advisor did not provide correct advice regarding qualified chartable distributions.

There are Recent Customer Complaints with Broker Robert Morgan in Firm Wells Fargo Clearing Services, LLC

April 16, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on February 17, 2025.

Plaintiffs allege that from 2022-2023, the FA failed to protect the Plaintiff by permitting the withdrawal of funds without determining why the funds were being withdrawn or if the Plaintiff was competent or acting under duress.