Articles Posted in Reg BI

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brad Small (Small), previously associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Small 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 $24,750.00 on January 04, 2021.

Claimants allege breach of contract and unjust enrichment.

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

FINRA BrokerCheck shows a settled customer complaint on January 06, 2021.

Claimants allege unauthorized trading, failure to adequately disclosure fees, failure to communicate with Claimants about their investments despite receiving account fees, and improperly receiving both mutual fund commissions and account fees. Alleged Activity Dates: 2/13/2009 to present.

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

FINRA BrokerCheck shows a settled customer complaint on January 06, 2021.

Claimants allege Branch Manager failed to adequately supervise Claimants’ FAs. Alleged Activity dates: 2/13/2009 to present.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Cleek (Cleek), currently associated with Valic Financial Advisors, INC., has at least one disclosable event. These events include one customer complaint, alleging that Cleek 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 $12,059.15 on January 08, 2021.

Clients allege they requested their registered representative move their accounts on October 20, 2020 to a short-term fixed interest fund. The requested transactions were not performed by the registered representative, causing their accounts to incur market losses.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven Dean (Dean), currently associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Dean recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on January 05, 2021.

The customer alleged unsuitable recommendation.

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

FINRA BrokerCheck shows a settled customer complaint on January 11, 2021.

Claimant alleged that Financial Consultant investment recommendations to purchase P.R. Securities were unsuitable in light of the clients’ risk profile. Claimants also alleged that recommendations made by the Financial Consultant were outrageous in light of Puerto Rico’s well known deteriorating financial condition.

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

FINRA BrokerCheck shows a settled customer complaint on January 06, 2021.

Claimants allege FAs failed to communicate with Claimants about their investments despite receiving account fees and improperly received both mutual fund commissions and account fees. Alleged Activity Dates: 2/13/2009 to present.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ralph Baker (Baker), previously associated with Ameriprise Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Baker 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 $111,000.00 on January 05, 2021.

Claimant alleges that he was recommended unsuitable, high-commission, high-risk, and speculative alternative investments, FSKR and CNL Healthcare Properties.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Wolff (Wolff), previously associated with First Manhattan CO, has at least one disclosable event. These events include one customer complaint, alleging that Wolff 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 $714,153.00 on January 07, 2021.

Customer alleged that First Manhattan Co. (“FMC”) inappropriately placed investment portfolio into fee-paying investment advisory accounts and made various allegations regarding the suitability of investments and the registration status of the investment advisor. Customer did not specify a demand but ultimately demanded return of all advisory fees which amounted to $714,153.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kenneth Pesavento (Pesavento), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Pesavento 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 $250,000.00 on January 06, 2021.

The deceased customer’s estate and trust alleges unsuitable investment recommendations and failure to disclose excessive fees.

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