Reg BI

There are Recent Customer Complaints with Broker Michelle Gattis in Firm Principal Securities, Inc.

February 13, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michelle Gattis (Gattis), currently associated with Principal Securities, Inc., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Gattis 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 $5,000.00 on January 24, 2025.

Client alleges RR made misrepresentations in connection with a VUL policy purchased in 2021.

Broker John Hebner in Moloney Securities Co., Inc. Firm Has Customer Complaint

February 13, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Hebner (Hebner), previously associated with Moloney Securities Co., Inc., has at least 6 disclosable events. These events include 6 customer complaints, alleging that Hebner 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 $40,000.00 on January 25, 2025.

Suitability/negligence. 2019

Broker Carlton Fletcher in Dinosaur Financial Group, L.l.c Firm Has Customer Complaint

February 13, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Carlton Fletcher (Fletcher), previously associated with Dinosaur Financial Group, L.l.c, has at least one disclosable event. These events include one regulatory, alleging that Fletcher recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on January 24, 2025.

Without admitting or denying the findings, Fletcher consented to the sanction and to the entry of findings that he refused to provide information and documents requested by FINRA in connection with its investigation of allegations that he converted funds of an individual.

Broker Joseph Ondris in Landolt Securities, Inc. Firm Has Customer Complaint

February 13, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint on January 27, 2025.

Without admitting or denying the findings, Ondris consented to the sanctions and to the entry of findings that he caused his member firm to maintain incomplete books and records by using an unauthorized personal email account to send and receive securities-related business communications to firm customers without providing copies of the emails to the firm and thereby preventing it from preserving the emails as required. The findings stated that Ondris signed firm compliance attestations stating that he used only his assigned firm email address for securities business communications with firm customers.

Broker Christopher Jacobi in Ameriprise Financial Services, LLC Firm Has Customer Complaint

February 13, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Jacobi (Jacobi), currently associated with Ameriprise Financial Services, LLC, has at least 4 disclosable events. These events include 4 customer complaints, alleging that Jacobi 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 January 28, 2025.

Claimant alleges an unsuitable investment was recommended by Advisor.

Broker Jordan Hernandez in J.P. Morgan Securities LLC Firm Has Customer Complaint

February 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jordan Hernandez (Hernandez), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hernandez 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 $9,374.00 on January 30, 2025.

Customer alleges unsuitable investment recommendation. Activity dates 6/2/2022 – 6/2/2022.

Broker Santiago Torres in Truist Investment Services, Inc. Firm Has Customer Complaint

February 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Santiago Torres (Torres), previously associated with Truist Investment Services, Inc., has at least 3 disclosable events. These events include 2 customer complaints, one regulatory, alleging that Torres recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on January 31, 2025.

Torres was named a respondent in a FINRA complaint alleging that he failed to provide information and documents and failed to appear for on-the-record testimony requested by FINRA as part of an investigation into whether he misappropriated funds and falsified customer documents. The complaint alleges that FINRA opened the investigation after reviewing a Form U4 amendment filed by Torres’ member firm that disclosed a customer complaint alleging that he misappropriated funds from the customer, who was Torres’s wife’s cousin, and other family members. The requested information and documents were relevant to determining whether Torres misappropriated funds from customers and other family members or forged customer documents, and they were necessary for FINRA to complete its investigation. Torres’ testimony was also material to FINRA’s investigation.

Broker Adam Brown in St. Bernard Financial Services, Inc. Firm Has Customer Complaint

February 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Adam Brown (Brown), currently associated with St. Bernard Financial Services, Inc., 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 pending customer complaint with a damage request of $350,000.00 on January 29, 2025.

Claiment wanted to double his money in a short time and agreed to take a risky investment strategy. Large losses occurred . Account was opened in December of 2021 and closed in early 2024

There are Recent Customer Complaints with Broker Michael Magruder in Firm Raymond James & Associates, Inc.

February 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Magruder (Magruder), previously associated with Raymond James & Associates, Inc., has at least 4 disclosable events. These events include 2 customer complaints, 2 regulatory, alleging that Magruder recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on January 31, 2025.

Respondent Magruder failed to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA request to provide information concerning the status of compliance.

There are Recent Customer Complaints with Broker Amy Marx in Firm Osaic Wealth, Inc.

February 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Amy Marx (Marx), previously associated with Osaic Wealth, Inc., has at least one disclosable event. These events include one regulatory, alleging that Marx recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on February 03, 2025.

Respondent Marx failed to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA request to provide information concerning the status of compliance.