Reg BI

Broker Jeffrey Bangerter in Concorde Investment Services, LLC Firm Has Customer Complaint

February 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Bangerter (Bangerter), currently associated with Concorde Investment Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Bangerter 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 $85,000.00 on December 20, 2024.

Client is alleging suitability and breach of fiduciary duty relating to investments made in 2024.

Broker Jeffrey Eglow in Newbridge Securities Corporation Firm Has Customer Complaint

February 3, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on November 12, 2024.

Breach of fiduciary duty, negligence, and breach of contact.

There are Recent Customer Complaints with Broker Richard Grassey 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 Richard Grassey (Grassey), currently associated with UBS Financial Services Inc., has at least one disclosable event. These events include one customer complaint, alleging that Grassey 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 $3,500,000.00 on December 03, 2024.

Time frame: january 2011 to 2023 claimant’s counsel alleges ubs failed to do adequate due diligence on a fund of funds, which counsel alleges was unsuitable for any investor, and as a result all relevant risks were not disclosed to investors.

There are Recent Customer Complaints with Broker Mark Just in Firm Triad Advisors LLC

February 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Just (Just), previously associated with Triad Advisors LLC, has at least 8 disclosable events. These events include 8 customer complaints, alleging that Just 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 December 04, 2024.

Claimant alleges recommendations of certain direct investments were not in keeping with his investment needs and objectives, and that full disclosures regarding the investments were not made.

Broker Maggie Huang in Equitable Advisors, LLC Firm Has Customer Complaint

February 2, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Maggie Huang (Huang), currently associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Huang 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 $27,000.00 on November 08, 2024.

Customer alleges the RR misrepresented the Tax Penalties and reduced death benefit of an existing policy to recommend the sale of a new VUL policy.

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

February 2, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Campbell (Campbell), currently associated with Raymond James Financial Services, Inc., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Campbell 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 $282,537.50 on November 14, 2024.

Plaintiffs allege investing in a real estate investment based on FAs’ misrepresentations.

Broker Kerrie Coe in Wells Fargo Clearing Services, LLC Firm Has Customer Complaint

February 2, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kerrie Coe (Coe), currently associated with Wells Fargo Clearing Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Coe 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 $640,000.00 on December 17, 2024.

Claimant alleges unsuitable investment recommendations with resulted in losses.

Broker Mimi Park in U.S. Bancorp Investments, Inc. Firm Has Customer Complaint

February 2, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mimi Park (Park), currently associated with U.S. Bancorp Investments, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Park 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 $600,000.00 on November 22, 2024.

Customer alleges misappropriation of funds and that representative refused to execute her requested wire.

There are Recent Customer Complaints with Broker Tiffany Keigley in Firm Morgan Stanley

February 2, 2025 | by Staff Attorney

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

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

CLIENT HAS ALLEGED THAT CLIENT SERVICE ASSOCIATE USED CLIENT’S ACCOUNT TO PAY BILLS AND TO MAKE VARIOUS CASH TRANSFERS TO, OR FOR THE BENEFIT OF, THE CLIENT SERVICE ASSSOCIATE, WITHOUT THE CLIENT’S PERMISSION, 2018-2024

Broker Shannon Roehrs in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

February 2, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Shannon Roehrs (Roehrs), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Roehrs 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 $2,377,594.00 on November 27, 2024.

Claimaint alleges unauthorizing trading, unsuitable investment recommendation, misrepresentation and failure to act in the customer’s best interest in July 2020.