Articles Posted in Reg BI

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Williams Butcher (Butcher), currently associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Butcher 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 $100,000.00  on February 11, 2025.

Claimant alleges unsuitable recommendations into high-risk bonds.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jason Klein (Klein), currently associated with UBS Financial Services Inc., has at least one disclosable event. These events include one customer complaint, alleging that Klein 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.

Time Frame:  December 1st, 2022 to July 31st, 2024\, What were the allegations against the individual –  The client alleges they were placed in unsuitable investments based on their age and investment knowledge and the investments were misrepresented.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alan Harrison (Harrison), currently associated with Concorde Investment Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Harrison 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 $125,000.00  on February 10, 2025.

Statement of claim alleges Breach of Fiduciary Duty, Violation of FINRA Rules, Breach of Contract, and Negligence related to investment made in 2019.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Morrison (Morrison), currently associated with B. Riley Wealth Management, 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 $100,000.00  on February 05, 2025.

Claims RR recommended the unsuitable use of margin and over concentration in technology sector.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Dicolo (Dicolo), currently associated with UBS Financial Services Inc., has at least one disclosable event. These events include one customer complaint, alleging that Dicolo 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.

Time Frame: May 1st, 2019 to January 31st, 2025\, What were the allegations against the individual? The client alleges that his Financial Advisors failed to follow his instructions by not investing funds received in the 529 plan. The client further alleges that his retirement money was not invested as per his instructions in years.

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

FINRA BrokerCheck shows a pending customer complaint on February 05, 2025.

Claimant alleges that during an unspecified time frame, the FA failed to monitor the accounts which resulted in the improper transfer of funds.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Pluta (Pluta), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Pluta recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on February 01, 2025.

Client alleges failure to follow instructions February 2025.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dean Nowak (Nowak), previously associated with Newbridge Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Nowak 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 February 04, 2025.

Breach of fiduciary duty, negligence, and reg bi

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christine Amato (Amato), currently associated with Charles Schwab & Co., Inc., has at least one disclosable event. These events include one customer complaint, alleging that Amato 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 $88,235.00  on February 10, 2025.

Around June 2020, the client alleges the representative recommend a CD that was not in her best interest and misrepresented the interest rates of the CD.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gerald Seigel (Seigel), currently associated with Aegis Capital Corp., has at least one disclosable event. These events include one customer complaint, alleging that Seigel 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.

Time frame: 2015 – present. Claimants allege breach of fiduciary duty, negligence and breach of contract.

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