Reg BI

Broker Nikko Richardson in Fidelity Brokerage Services LLC Firm Has Customer Complaint

February 9, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nikko Richardson (Richardson), currently associated with Fidelity Brokerage Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Richardson 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 08, 2023.

Customer alleged that the representative made an unsuitable recommendation to invest in a managed account.

There are Recent Customer Complaints with Broker Mark Carter in Firm Pruco Securities, LLC.

February 9, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Carter (Carter), previously associated with Pruco Securities, LLC., has at least one disclosable event. These events include one customer complaint, alleging that Carter 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 $500,000.00 on April 04, 2024.

Customer alleges the rep engaged in unauthorized trading from around April to December of 2023. Allegation/complaint is the result of advisor’s self-disclosure of these trades to the firm and client several months prior.

There are Recent Customer Complaints with Broker Francisco Marquez in Firm Raymond James Financial Services, Inc.

February 9, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Francisco Marquez (Marquez), previously associated with Raymond James Financial Services, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Marquez 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 $26,524.75 on May 01, 2024.

The client alleged the advisor placed unauthorized trades.

There are Recent Customer Complaints with Broker Philip Connors in Firm Monmouth Capital Management LLC

February 9, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Philip Connors (Connors), previously associated with Monmouth Capital Management LLC, has at least one disclosable event. These events include one tax lien, alleging that Connors recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on October 18, 2023.

Without admitting or denying the findings, Conners consented to the sanction and to the entry of findings that he refused to appear for on-the-record testimony requested by FINRA in connection with its investigation into, among other issues, his role in potential sales practice violations related to the trading in some of his customers’ accounts at his member firms.

Broker Cary Jacobs in Moloney Securities Co., Inc. Firm Has Customer Complaint

February 9, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Cary Jacobs (Jacobs), previously associated with Moloney Securities Co., Inc., has at least one disclosable event. These events include one customer complaint, alleging that Jacobs 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 September 28, 2023.

Suitability/negligence. 2016.

There are Recent Customer Complaints with Broker Nathan Paulson in Firm Apw Capital, Inc.

February 9, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nathan Paulson (Paulson), previously associated with Apw Capital, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Paulson 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 $5,000,000.00 on June 22, 2023.

Breach of fiduciary duty by willfully and recklessly, disregarding the interests of the clients, by executing risky and authorized trading and margin borrowing, and by failing to exercise a reasonable degree of care, skill, prudence, and diligence in managing their accounts.

Broker Ryan Stoner in Fifth Third Securities, Inc. Firm Has Customer Complaint

February 9, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ryan Stoner (Stoner), previously associated with Fifth Third Securities, Inc., has at least one disclosable event. These events include one tax lien, alleging that Stoner recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on August 02, 2024.

Respondent Stoner 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 Matthew Patrick in Firm U.s. Bancorp Investments, Inc.

February 9, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Patrick (Patrick), currently associated with U.s. Bancorp Investments, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Patrick 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 $700,000.00 on April 06, 2023.

Claimant alleged that RR recommended an unsuitable investment strategy and did not disclose all materials facts associated with the strategy.

There are Recent Customer Complaints with Broker Christopher Mollan in Firm LPL Financial LLC

February 9, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on May 02, 2024.

Customer alleges that an investment made in 2014 was unsuitable for the customer’s investment objectives and risk tolerance.

Broker Jason Martin in Ameriprise Financial Services, LLC Firm Has Customer Complaint

February 9, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on February 08, 2024.

Customer alleges that an investment made in 2014 was unsuitable for the customer’s investment objectives and risk tolerance.