Reg BI

There are Recent Customer Complaints with Broker Denis Drummey in Firm Ameriprise Financial Services, INC.

June 12, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on August 19, 2020.

Customer complains about illiquidity of business development company, alleges that representative’s recommendation of business development company was unsuitable, and that his net worth was incorrectly stated on the account paperwork. Alleged activity dates are 7/24/14 – 7/24/14

Broker Stephanie O’hara in LPL Financial LLC Firm Has Customer Complaint

June 12, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a award / judgment customer complaint on March 14, 2022.

The decision to offer 3.75% on the line of credit instead of 3.25% violated Reg BI and advice within investment strategy that claimant should borrow against the non-purpose loan at 3.75% rather than sell pledged stock (BGCP) which was paying 6% and disabusing claimant of claimant’s idea to liquidate shares to buy Florida home.

There are Recent Customer Complaints with Broker Gerard O’connell in Firm Merrill Lynch, Pierce, Fenner & Smith Incorporated

June 12, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on October 24, 2022.

Client alleges misrepresentation related to a bond fund purchased in March 2022.

There are Recent Customer Complaints with Broker Lisa Jackson in Firm Cetera Wealth Services, LLC

June 12, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lisa Jackson (Jackson), currently associated with Cetera Wealth Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Jackson 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 $145,000.00 on August 18, 2020.

Client alleged the products into which he invested in 2014 were misrepresented and unsuitable.

Broker Edward Simpson in Innovation Partners LLC Firm Has Customer Complaint

June 12, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Edward Simpson (Simpson), currently associated with Innovation Partners LLC, has at least one disclosable event. These events include one customer complaint, alleging that Simpson 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 $100,000.00 on August 19, 2020.

Unsuitable Recommendations

Broker Michael O’meara in LPL Financial LLC Firm Has Customer Complaint

June 12, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael O’meara (O’meara), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that O’meara 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 $50,000.00 on March 24, 2022.

Claimants allege misrepresentation and omissions made by Respondent regarding a real estate investment trust investment. Activity date 1/1/2016 to 7/19/2019.

There are Recent Customer Complaints with Broker Robert D’andria in Firm International Assets Advisory, LLC

June 12, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert D’andria (D’andria), currently associated with International Assets Advisory, LLC, has at least one disclosable event. These events include one customer complaint, alleging that D’andria 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 $5,000.00 on September 14, 2020.

Unsuitability, unauthorized trading, fraud, breach of contract, negligent supervision, breach of fiduciary duty

Broker Kevin O’brien in Wealth Enhancement Brokerage Services, LLC Firm Has Customer Complaint

June 12, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin O’brien (O’brien), currently associated with Wealth Enhancement Brokerage Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that O’brien 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 $50,713.00 on May 19, 2022.

The claimant alleges the financial professional placed the claimant in moderately conservative investments as opposed to conservative or “zero risk” investments.

Broker Blair Horne in Morgan Stanley Firm Has Customer Complaint

June 12, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a award / judgment customer complaint with a damage request of $317,788.98 on August 19, 2020.

Plaintiff alleges, inter alia, failure to follow instructions with respect to liquidation of Stock Option – Feb 06, 2020 to Feb 07, 2020

Broker Solomon Tobal in Wells Fargo Advisors Financial Network, LLC Firm Has Customer Complaint

June 8, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Solomon Tobal (Tobal), currently associated with Wells Fargo Advisors Financial Network, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Tobal 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 $10,926.65 on October 15, 2025.

Client alleges misrepresentation with respect to commissions charged on individual trades and opening of managed account