Reg BI

There are Recent Customer Complaints with Broker Robert Jones in Firm Edward Jones

February 9, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Jones (Jones), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Jones 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 $820,349.41 on June 28, 2024.

The client alleges the financial advisor failed to follow instructions in 2020 to remove POA from account. Client also makes allegations concerning investments in an account over which he has no authority.

Broker Eugene Thompson in Capital Investment Group, Inc. Firm Has Customer Complaint

February 9, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eugene Thompson (Thompson), currently associated with Capital Investment Group, Inc., has at least 5 disclosable events. These events include 5 customer complaints, alleging that Thompson 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 September 03, 2024.

Relative to specific investments made by clients, claims included unsuitability, breach of fiduciary conduct, negligence/gross negligence, negligent misrepresentation, intentional misrepresentation/omission and, breach of contract.

Broker Frank Giacalone in Aegis Capital Corp. Firm Has Customer Complaint

February 9, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Frank Giacalone (Giacalone), currently associated with Aegis Capital Corp., has at least one disclosable event. These events include one customer complaint, alleging that Giacalone 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 $39,668.33 on May 01, 2024.

Time frame: August 2018 – April 2021. Client alleges unsuitable recommendations and investments.

Broker Traci Marchi in Morgan Stanley Firm Has Customer Complaint

February 9, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Traci Marchi (Marchi), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Marchi 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 $370,464.35 on June 27, 2024.

From approximately early March 2017 through approximately summer 2018, in connection with an outside business activity not involving the Firm, the plaintiff alleges common law fraud, elder abuse, breach of fiduciary duty, improper receipt of fund, unjust enrichment, conversion, intentional interference with contracts, and breach of contract related to an investment in a limited liability company that owned real estate.

Broker William Cerf in UBS Financial Services Inc. Firm Has Customer Complaint

February 9, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Cerf (Cerf), currently associated with UBS Financial Services Inc., has at least one disclosable event. These events include one customer complaint, alleging that Cerf 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 $3,000,000.00 on September 07, 2023.

Time frame: 2017 – 2023\, Claimant’s counsel alleges unsuitability and misrepresentation with respect to recommendations to invest in and hold an options overlay strategy.

There are Recent Customer Complaints with Broker William Fochi in Firm Cambridge Investment Research, Inc.

February 9, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint on May 23, 2023.

As a result of the RR’s October 6, 2021 FINRA Consent Order, the State of Connecticut Insurance Department entered a Stipulation and Consent Order for the purpose of the RR maintaining his Connecticut resident producer license. The Order requires twelve months of probation and the completion of an online educational course.

Broker B. David Goldstein in Osaic Wealth, Inc. Firm Has Customer Complaint

February 9, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker B. David Goldstein (Goldstein), currently associated with Osaic Wealth, Inc., has at least 3 disclosable events. These events include 3 customer complaints, alleging that Goldstein 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 $230,000.00 on April 03, 2024.

Misrepresentation

Broker Richard Mccloskey in Cetera Advisor Networks LLC Firm Has Customer Complaint

February 9, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on November 27, 2023.

Client alleges unsuitable recommendation regarding variable life insurance policy.

Broker Christian Plaza in Vanguard Marketing Corporation Firm Has Customer Complaint

February 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christian Plaza (Plaza), previously associated with Vanguard Marketing Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Plaza 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 $5,321.00 on June 01, 2023.

Client alleges that the registered representative did not follow instructions when processing a Qualified Charitable Donation resulting in a realized capital gain and additional IRS tax liabilities. The activity date leading to the allegation was August 2, 2022.

There are Recent Customer Complaints with Broker Christopher Gardella in Firm LPL Enterprise, LLC

February 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Gardella (Gardella), currently associated with LPL Enterprise, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Gardella 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 $6,042.57 on March 11, 2024.

The Customer alleged he was misled when he purchased a variable annuity in February 2022 and has requested a refund of the surrender charges incurred.