Reg BI

There are Recent Customer Complaints with Broker Ryan Pramberg in Firm Thrivent Investment Management INC.

November 2, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ryan Pramberg (Pramberg), previously associated with Thrivent Investment Management INC., has at least one disclosable event. These events include one customer complaint, alleging that Pramberg 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 $5,278.00 on April 04, 2025.

Client alleged the recommendation to surrender her variable annuity and move the funds into a managed account in September of 2024 did not meet her needs.

Broker Sam Walton in Equitable Advisors, LLC Firm Has Customer Complaint

November 2, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on December 13, 2022.

Client alleged RR misled them on their options for an internal variable policy exchange in 2022.

Broker Drake Medeiros in Raymond James Financial Services, INC. Firm Has Customer Complaint

November 2, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Drake Medeiros (Medeiros), currently associated with Raymond James Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Medeiros 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 July 15, 2024.

The client alleged the advisor opened the incorrect account type that was not in their best interest.

Broker Kaysi Fitzpatrick in Nylife Securities LLC Firm Has Customer Complaint

November 2, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on September 24, 2024.

The Customer alleges he was misled regarding fees when he purchased a variable universal life insurance policy in January 2024.

There are Recent Customer Complaints with Broker Tyler Gugliuzza in Firm Edward Jones

November 2, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Tyler Gugliuzza (Gugliuzza), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Gugliuzza 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 $110,000.00 on December 13, 2022.

Claimant asserts various claims alleging Edward Jones failed to follow Claimant’s directions to move into more conservative investments in early 2022.

Broker Kevin Wesner in UBS Financial Services INC. Firm Has Customer Complaint

November 2, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Wesner (Wesner), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Wesner 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 $1,000,000.00 on December 13, 2022.

Failure to follow instructions, negligence and breach of contract in a life insurance transaction dated around November 2007.

Broker G Schein in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

November 2, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker G Schein (Schein), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Schein 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 $900,000.00 on December 13, 2022.

Customer alleges unsuitable investments and misrepresentations.

Broker David Critelli in Equity Services, INC. Firm Has Customer Complaint

November 2, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Critelli (Critelli), currently associated with Equity Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Critelli 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 $98,500.00 on May 12, 2025.

Customer alleges representative recommended an unsuitable investment strategy

There are Recent Customer Complaints with Broker John Stitt in Firm World Equity Group, INC.

November 2, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Stitt (Stitt), currently associated with World Equity Group, INC., has at least one disclosable event. These events include one customer complaint, alleging that Stitt 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 $606,000.00 on December 14, 2022.

Claimants state that they were recommended by the Respondent (World Equity Group, Inc.) to invest their retirement funds in a prudent and suitable manner, Instead Claimants state they were recommended to invest in unsuitable and illiquid alternative investments (Non-Traded REITS) specifically in Hospitality Investment Trust (HIT) approximately between 2014 and 2018. Claimants state they were advised to hold the investments and eventually HIT’s bankruptcy came into picture. The claimants suffered a near complete loss on their investment in HIT.

There are Recent Customer Complaints with Broker Clarence Patton in Firm Alexander Capital, L.p.

November 2, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Clarence Patton (Patton), previously associated with Alexander Capital, L.p., has at least 3 disclosable events. These events include 3 customer complaints, alleging that Patton 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 $1,000,000.00 on December 13, 2022.

Claimants allegations; Count I, Breach of Fiduciary duty; Count II, Violation of FINRA NYSE Rules, Regulation Best Interest, Breach of Contract, and Negligence; Count III, Failure to Supervise; Count IV, Violation of FL Securities and Investor Protection Act, section 517.