Reg BI

Broker Eric Kleiner in Morgan Stanley Firm Has Customer Complaint

June 13, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on April 30, 2026.

Claimants allege, inter alia, that FA recommended investment in an outside investment security that was not authorized by MS -2016 to 2025

Broker Daniel Haynes in J.P. Morgan Securities LLC Firm Has Customer Complaint

June 13, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Haynes (Haynes), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Haynes 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 $44,734.15 on April 29, 2026.

Customer alleges unsuitable investment recommendation. Activity dates 6/26/23 – 6/27/23.

There are Recent Customer Complaints with Broker Jawed Aslam in Firm MML Investors Services, LLC

June 13, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jawed Aslam (Aslam), currently associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Aslam 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 $234,171.07 on April 30, 2026.

The complainant alleges that the VUL that was sold to her in 2010 was misrepresented by the rep, that the illustrations were physically altered and that there was an unauthorized collection of signed blank checks to make premium payments. It is alleged that 15 years of market opportunity was lost.

Broker Benjamin Sweeney in Morgan Stanley Firm Has Customer Complaint

June 13, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Benjamin Sweeney (Sweeney), currently associated with Morgan Stanley, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Sweeney 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 $1,300,000.00 on April 30, 2026.

Claimant alleges, inter alia, municipal bond investment strategy was not in their best interest – Feb 2014 to Feb 2026.

There are Recent Customer Complaints with Broker Jonas Everett in Firm LPL Financial LLC

June 13, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on April 28, 2026.

Statement of Claims alleges unsuitable investment recommendations given the client’s stated investment objectives.

There are Recent Customer Complaints with Broker Robert Notarfrancesco in Firm LPL Financial LLC

June 13, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Notarfrancesco (Notarfrancesco), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Notarfrancesco 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 $27,767.78 on April 29, 2026.

Customer alleges that interest rate on variable annuity was guaranteed.

There are Recent Customer Complaints with Broker Leta Davis in Firm Morgan Stanley

June 13, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Leta Davis (Davis), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Davis 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 $25,000.00 on May 11, 2026.

Client alleged that he was given incorrect investment advice when he was advised that he did not qualify for preferred certificates of deposits offered by morgan stanley which led to him investing in a fee based managed account and missing out on the preferred interest he could have earned. 2025-2026

Broker Mark O’leary in Nylife Securities LLC Firm Has Customer Complaint

June 12, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark O’leary (O’leary), currently associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that O’leary 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 $24,140.51 on October 06, 2021.

Claimant alleges that she was misled into purchasing an unsuitable investment in November 2017 and seeks the return of surrender charges, fees and market losses plus punitive damages and attorney fees.

There are Recent Customer Complaints with Broker William O’connor in Firm Bivo Financial LLC

June 12, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William O’connor (O’connor), previously associated with Bivo Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that O’connor 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 October 31, 2022.

Failed to supervise Tony Liddle

Broker Guillermo Roditi Dominguez in Cantella & Co., INC. Firm Has Customer Complaint

June 12, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Guillermo Roditi Dominguez (Roditi Dominguez), previously associated with Cantella & Co., INC., has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Roditi Dominguez recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on February 25, 2021.

On February 25, 2021, the NFA’s Business Conduct Committee issued a complaint alleging that Roditi & Roditi LLC (Roditi) failed to timely file pool quarterly reports with NFA, and that Roditi and Guillermo Roditi Dominguez (Dominguez) failed to supervise the firm’s compliance with its regulatory obligations. As a principal of the firm and its sole AP, Dominguez is the individual at Roditi responsible for ensuring the firm complies with its regulatory obligations. By reason of the foregoing acts and omissions, Dominguez is charged with violations of NFA Compliance Rule 2-9(a).