Reg BI

Broker John Cutrone in Aegis Capital Corp. Firm Has Customer Complaint

March 30, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on January 08, 2025.

Time frame: Unspecified. Claimants allege unsuitable investments.

There are Recent Customer Complaints with Broker Annette Jensen in Firm Edward Jones

March 30, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Annette Jensen (Jensen), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Jensen 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 $50,000.00 on January 19, 2025.

Client alleges financial advisor recommended radical account changes without advising of tax implications.

Broker Joshua Jenkins in Northwestern Mutual Investment Services, LLC Firm Has Customer Complaint

March 30, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joshua Jenkins (Jenkins), previously associated with Northwestern Mutual Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Jenkins 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 $150,000.00 on January 22, 2025.

This couple allege that in or around April 2022, the Representative breached his fiduciary duty by recommending the unnecessary purchase of life insurance, including a variable life insurance policy, as a savings and investment vehicle as part of an overall retirement investment plan. Customers allege the Representative’s recommendations were motivated by commissions and fees rather than their needs.

Broker Andrew Miles in Green Vista Capital, LLC Firm Has Customer Complaint

March 30, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andrew Miles (Miles), previously associated with Green Vista Capital, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Miles 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 January 22, 2025.

Claimants allege reasonable basis unsuitability; breach of fiduciary duty; negligence/gross negligence/negligence per se; negligent misrepresentation; intentional misrepresentation/omission;aiding and abetting a fraud; negligent hiring, retention, supervision; breach of contract; equitable rescission; declaratory judgement

Broker Nicole Turosky in Osaic Institutions, Inc. Firm Has Customer Complaint

March 30, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on January 14, 2025.

Claimant alleges that at the end of January 2024, the FA failed to follow instructions and instead, moved funds into an unsuitable program.

There are Recent Customer Complaints with Broker Paula Walker in Firm Key Investment Services LLC

March 30, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Paula Walker (Walker), currently associated with Key Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Walker 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 $6,409.20 on January 13, 2025.

Client alleges the August 2021 recommendation to purchase a fixed annuity in the amount of $52,852 was poor advice.

There are Recent Customer Complaints with Broker Larry Cohen in Firm Dominari Securities LLC

March 30, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on January 08, 2025.

Time frame: Unspecified, Claimant alleges unsuitable investments.

Broker Keith Morgan in Steward Partners Investment Solutions, LLC Firm Has Customer Complaint

March 30, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Keith Morgan (Morgan), currently associated with Steward Partners Investment Solutions, 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 with a damage request of $274,000.00 on January 15, 2025.

Time frame: September 2010 to 2023\, Allegations: Claimant’s counsel alleges UBS failed to do adequate due diligence on a fund of funds, which counsel alleges was unsuitable for any investor, and as a result all relevant risks were not disclosed to investors.

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

March 30, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on January 14, 2025.

Claimant alleges that at the end of January 2024, the FA failed to execute the transactions requested via email and instead the cash was swept to Wells Fargo’s bank deposit program without the Claimant’s authorization.

There are Recent Customer Complaints with Broker Enrique Fernandez in Firm UBS Financial Services Inc.

March 30, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Enrique Fernandez (Fernandez), previously associated with UBS Financial Services Inc., has at least one disclosable event. These events include one customer complaint, alleging that Fernandez 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 $300,000.00 on January 02, 2025.

Time frame: Unspecified \, Allegations: Claimant alleges the recommendation to invest in and hold Puerto Rico closed-end funds was unsuitable, and that their accounts were unsuitably over concentrated in Puerto Rico investments. They also allege that the risks of investing in and concentration in Puerto Rico investments was misrepresented.