Reg BI

Broker Suihock Goy in Ni Advisors Firm Has Customer Complaint

February 19, 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 6 disclosable events. These events include 6 customer complaints, 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 $100,000.00 on December 23, 2024.

Claims loss due to corporate bond investment in which issuer declared bankruptcy, claiming breach of contract, breach of fiduciary duty, vicarious liability. Investments were made in 2019-2020. Suihock Goy is supervisor, did not recommend the product to the client, and was not representative of record.

There are Recent Customer Complaints with Broker Terry Dean in Firm UBS Financial Services Inc.

February 19, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Terry Dean (Dean), currently associated with UBS Financial Services Inc., has at least one disclosable event. These events include one customer complaint, alleging that Dean 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 December 27, 2024.

Time frame: 2022-2023\, Claimant, through counsel, alleges breach of fiduciary duties by negligently accepted a power of attorney and corresponding instructions from Claimant’s daughter resulting in the purportedly improper withdrawal of significant funds from Claimant’s accounts. Claimant further alleges that the characteristics of ‘clients’ portfolio changed, including considerably more transactions larger in size, indicating a change of strategy from the previous two decades, and not in the best interest of the client.

There are Recent Customer Complaints with Broker John Grosshans in Firm U.s. Bancorp Investments, Inc.

February 19, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Grosshans (Grosshans), currently associated with U.s. Bancorp Investments, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Grosshans 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 $7,000.00 on December 24, 2024.

Customer alleges that two transactions were executed on his behalf, which he believes to be inappropriate given his investment objectives.

There are Recent Customer Complaints with Broker Robert Mueller in Firm Parkland Securities, LLC

February 19, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Mueller (Mueller), currently associated with Parkland Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mueller 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 $48,000.00 on December 27, 2024.

Clients allege that the closing of their joint account was mishandled in 2022. Registered Representatives vehemently deny any wrongdoing. Upon information and belief, the alleged losses occurred after funds were deposited into the account through a new, unaffiliated financial professional, without the Registered Representatives’ knowledge or any act on their part in 2024.

Broker Deborah Anderson in LPL Financial LLC Firm Has Customer Complaint

February 19, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Deborah Anderson (Anderson), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Anderson 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 December 24, 2024.

The customer alleges that in December 2018, the Registered Representative recommended and misrepresented an unsuitable, high-risk, illiquid investment and breached her fiduciary duty.

Broker Randolph Hinton in United Planners’ Financial Services of America A Limited Partner Firm Has Customer Complaint

February 19, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Randolph Hinton (Hinton), previously associated with United Planners’ Financial Services of America A Limited Partner, has at least one disclosable event. These events include one customer complaint, alleging that Hinton 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 $245,000.00 on December 27, 2024.

Breach of fiduciary duty, suitability and breach of contract.

Broker David Moore in Cetera Advisor Networks LLC Firm Has Customer Complaint

February 19, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Moore (Moore), previously associated with Cetera Advisor Networks LLC, has at least one disclosable event. These events include one customer complaint, alleging that Moore 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 December 23, 2024.

CLAIMANT GENERALLY ALLEGES BREACH OF FIDUCIARY DUTY, BREACH OF CONTRACT, FAILURE TO SUPERVISE AND NEGLIGENCE.

There are Recent Customer Complaints with Broker Matthew Reimann in Firm UBS Financial Services Inc.

February 18, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Reimann (Reimann), currently associated with UBS Financial Services Inc., has at least one disclosable event. These events include one customer complaint, alleging that Reimann 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 December 27, 2024.

Time frame: 2022-2023\, Claimant, through counsel, alleges breach of fiduciary duties by negligently accepted a power of attorney and corresponding instructions from Claimant’s daughter resulting in the purportedly improper withdrawal of significant funds from Claimant’s accounts. Claimant further alleges that the characteristics of ‘clients’ portfolio changed, including considerably more transactions larger in size, indicating a change of strategy from the previous two decades, and not in the best interest of the client.

Broker Devon Gluck in Osaic Wealth, Inc. Firm Has Customer Complaint

February 18, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Devon Gluck (Gluck), currently associated with Osaic Wealth, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Gluck 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 $97,000.00 on December 30, 2024.

Claimant alleges their RR recommended an unsuitable Oil and Gas investment and an unsuitable REIT.

Broker Daniel Countiss in LPL Financial LLC Firm Has Customer Complaint

February 18, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Countiss (Countiss), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Countiss 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 $35,000.00 on December 31, 2024.

The client’s attorney alleges their advisor assured them that moving funds from a qualified account would result in ‘minor’ tax implications. Further, attorney alleges the advisor improperly handled the distributions which resulted in excess tax and loss of earnings.