Reg BI

There are Recent Customer Complaints with Broker Douglas Nelson in Firm LPL Financial LLC

February 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Douglas Nelson (Nelson), currently associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Nelson 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 $160,000.00 on November 21, 2024.

Customer alleges that an investment made was unsuitable for the customer’s investment objectives and risk tolerance. Time frame 2020.

Broker Richard Hubert depalma in Centaurus Financial, Inc. Firm Has Customer Complaint

February 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Hubert depalma (Hubert depalma), currently associated with Centaurus Financial, Inc., has at least 3 disclosable events. These events include 3 customer complaints, alleging that Hubert depalma 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 07, 2024.

The customers allege that in april of 2020, the registered representative recommended an unsuitable, high-risk, illiquid investment and breached his fiduciary duty.

There are Recent Customer Complaints with Broker Jonathan Krueger in Firm Larson Financial Securities, LLC

February 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jonathan Krueger (Krueger), currently associated with Larson Financial Securities, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Krueger 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 $217,316.00 on November 06, 2024.

From october 2019 through january 2023, customer alleges inappropriate investment selection in an investment advisory account.

Broker Jean-pierre Gobic in Morgan Stanley Firm Has Customer Complaint

February 3, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on November 01, 2024.

Claimants alleges violations of reg bi and misrepresentation with respect to alternative investment strategy – 2021 to 2023

There are Recent Customer Complaints with Broker Betsy Whipple in Firm Osaic Wealth, Inc.

February 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Betsy Whipple (Whipple), currently associated with Osaic Wealth, Inc., has at least 6 disclosable events. These events include 6 customer complaints, alleging that Whipple recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on November 06, 2024.

As per newbridge securities corporation, breach of fiduciary duty, negligence and negligent misrepresentation, breach of contract, failure to supervise, negligence – violation of regulation best interest.

Broker Vincent Camarda in IBN Financial Services, Inc. Firm Has Customer Complaint

February 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Vincent Camarda (Camarda), previously associated with IBN Financial Services, Inc., has at least 16 disclosable events. These events include 16 customer complaints, alleging that Camarda 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 $3,600,000.00 on November 15, 2024.

Claimants allege: breach of fiduciary duty; failure to supervise; negligence and gross negligence; and, misrepresentations and omissions. The alleged activity occurred from december 2019 to february 2023.

There are Recent Customer Complaints with Broker Jason Weese in Firm Merrill Lynch, Pierce, Fenner & Smith Incorporated

February 3, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on December 03, 2024.

The client alleges failure to follow instructions from october 7 to december 6, 2024

There are Recent Customer Complaints with Broker Jeffery Sprague in Firm Cetera Advisors LLC

February 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffery Sprague (Sprague), currently associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Sprague 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 $70,000.00 on November 08, 2024.

The client alleges that representative failed to disclose all material facts that could occur to the investment.

Broker Kurt Stahl in Berthel, Fisher & Company Financial Services, Inc. Firm Has Customer Complaint

February 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kurt Stahl (Stahl), previously associated with Berthel, Fisher & Company Financial Services, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Stahl 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 $1,750,000.00 on November 20, 2024.

Breach of fiduciary duty, negligence, negligent misrepresentation, intentional misrepresentations/omissions, breach of contract, violation of florida securities and investor protection act.

There are Recent Customer Complaints with Broker Roberto Dejesuspou in Firm UBS Financial Services Inc.

February 3, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on November 15, 2024.

Time frame: unspecified\, allegations: claimant alleges her investments in a puerto rico closed-end fund were unsuitable, over-concentrated, and misrepresented as safe investments.