Reg BI

There are Recent Customer Complaints with Broker Daryl Powell in Firm Charles Schwab & Co., Inc.

February 1, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daryl Powell (Powell), currently associated with Charles Schwab & Co., Inc., has at least one disclosable event. These events include one customer complaint, alleging that Powell 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 $25,286.38 on November 10, 2024.

The client alleges he was misled about a transfer of accounts from another firm. The client claims that he was advised the transfer would be in-kind and not incur any tax consequences.

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

February 1, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Tiffany Lyga (Lyga), currently associated with Raymond James Financial Services, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Lyga 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 $108,676.20 on November 25, 2024.

The client alleged an annuity was not a suitable investment.

Broker Justin Gerow in LPL Financial LLC Firm Has Customer Complaint

February 1, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Justin Gerow (Gerow), previously associated with LPL Financial LLC, has at least 2 disclosable events. These events include one customer complaint, one tax lien, alleging that Gerow 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 $36,000.00 on November 27, 2024.

Customer alleged the annuities they purchased in September of 2021 were not suitable, as recommended by Gerow

Broker Anthony Diaz in IBN Financial Services, Inc. Firm Has Customer Complaint

February 1, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Anthony Diaz (Diaz), previously associated with IBN Financial Services, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Diaz 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 $100,000.00 on November 25, 2024.

Claim alleges: breach of fiduciary duty; failure to supervise; negligence and gross negligence; and, misrepresentations and omissions. The alleged activity took place between 2014 and 2016.

There are Recent Customer Complaints with Broker Opher Shallom in Firm Wells Fargo Advisors Financial Network, LLC

February 1, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on December 13, 2024.

Client claims Financial Advisor’s recommendation of an outside money manager who employed a covered call options strategy was inappropriate, resulting in losses on the options when the underlying security appreciated substantially. Client seeks reimbursement for losses on the options. (11/8/2021-12/13/0224)

Broker Anibal Drelichman in UBS Financial Services Inc. Firm Has Customer Complaint

February 1, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Anibal Drelichman (Drelichman), currently associated with UBS Financial Services Inc., has at least one disclosable event. These events include one customer complaint, alleging that Drelichman 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 $115,680.00 on November 09, 2024.

The client alleged she was charged fees (i.e., commissions) that were not disclosed to her in 2024. On December 8, 2024, the client submitted further allegations that unauthorized trading had taken place in her account in January 2024.

There are Recent Customer Complaints with Broker Peter Lawrence in Firm American Portfolios Financial Services, Inc.

February 1, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Peter Lawrence (Lawrence), previously associated with American Portfolios Financial Services, Inc., has at least 15 disclosable events. These events include 14 customer complaints, one tax lien, alleging that Lawrence 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 $9,810.56 on November 19, 2024.

Customer alleges financial professional forged signatures to purchase a variable annuity in 2021.

Broker Alfred Drouin in Ameriprise Financial Services, LLC Firm Has Customer Complaint

February 1, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alfred Drouin (Drouin), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Drouin 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 $20,001.75 on November 22, 2024.

The client alleged that requested allocation updates to three (3) of his advisory accounts were not completed when requested on February 22, 2024.

There are Recent Customer Complaints with Broker Gerald Hanifan in Firm USA Financial Securities LLC

February 1, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gerald Hanifan (Hanifan), currently associated with USA Financial Securities LLC, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Hanifan 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 11, 2024.

Gerald Hanifan has been named in FINRA Dispute Resolution Services Arbitration Number 24-02603. The complainants are alleging that Mr. Hanifan placed them in unsuitable investments, by failing to explain the investments in great enough detail.

Broker Joel Woods in LPL Financial LLC Firm Has Customer Complaint

February 1, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joel Woods (Woods), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Woods 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 $750,000.00 on December 31, 2024.

The claim alleges unsuitability, breach of fiduciary duty, negligence, negligent hiring, and breach of contract based on investments made in 2017.