Reg BI

Broker Raymond Brown in Northwestern Mutual Investment Services, LLC Firm Has Customer Complaint

March 27, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Raymond Brown (Brown), previously associated with Northwestern Mutual Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Brown 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 $21,987.00 on February 13, 2025.

Customers allege that in or around July 2024, the Representative misrepresented that two variable life insurance policies would be treated as investment accounts and that ongoing premiums would not be required.

There are Recent Customer Complaints with Broker Reynel Gonzalez in Firm Wells Fargo Clearing Services, LLC

March 27, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Reynel Gonzalez (Gonzalez), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Gonzalez 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 $6,000.00 on February 13, 2025.

Client complains that in recommending an outside money management strategy, the Financial Advisor assured them that they would recover principal and achieve a gain after one year. (1/11/2024-2/13/2025)

There are Recent Customer Complaints with Broker Shirley Wong in Firm Emerson Equity LLC

March 27, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Shirley Wong (Wong), currently associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Wong 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 12, 2025.

Violations of Federal Securities Laws, Violations of California securities laws, California unfair, unlawful and fraudulent business practices, Violation of California’s financial elder abuse law, Breach of contract, Common law fraud, Breach of fiduciary duty, Negligence and Gross negligence, 05/2020

Broker Leroy Born in Wells Fargo Clearing Services, LLC Firm Has Customer Complaint

March 27, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on February 18, 2025.

Client complains that Financial Advisor made unauthorized investments and demands reversal of transactions and compensation for lost earnings. (6/28/2024 – 2/18/2025)

There are Recent Customer Complaints with Broker John Lang in Firm Park Avenue Securities LLC

March 27, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on February 12, 2025.

Claimant alleges the liquidation of securities to purchase various fixed life insurance products was unsuitable.

Broker Suihock Goy in Ni Advisors Firm Has Customer Complaint

March 27, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Suihock Goy (Goy), currently associated with Ni Advisors, has at least one disclosable event. These events include one customer complaint, alleging that Goy 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 $150,000.00 on February 15, 2025.

Claims of breach of contract and fiduciary duty, failure to supervise, negligence, violation of Best Interest for$100,000 bond purchase made in 2020. Mr. Goy was supervisor and not involved in the transaction.

Broker T Thompson in Truist Investment Services, Inc. Firm Has Customer Complaint

March 27, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker T Thompson (Thompson), previously associated with Truist Investment Services, Inc., has at least 4 disclosable events. These events include 4 customer complaints, alleging that Thompson recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on February 12, 2025.

Client alleges the representative mishandled his account and provided poor advice that resulted in the account underperforming.

There are Recent Customer Complaints with Broker Roger Duval in Firm Pruco Securities, Llc.

March 27, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Roger Duval (Duval), previously associated with Pruco Securities, Llc., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Duval 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 $157,000.00 on February 14, 2025.

The complainant alleges that beginning in or around 2014, the rep stole $157,000 from their accounts.

Broker Darrin Bradley in Ameriprise Financial Services, LLC Firm Has Customer Complaint

March 27, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint on February 19, 2025.

Alleged submission of an incomplete insurance application related to disclosure information.

There are Recent Customer Complaints with Broker James Raia in Firm Moloney Securities Co., Inc.

March 27, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Raia (Raia), currently associated with Moloney Securities Co., Inc., has at least one disclosable event. These events include one customer complaint, alleging that Raia 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 $940,000.00 on February 11, 2025.

Suitability/negligence. 2019-2021