Reg BI

There are Recent Customer Complaints with Broker Stanley Lewandoski in Firm Arkadios Capital

May 9, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stanley Lewandoski (Lewandoski), currently associated with Arkadios Capital, has at least one disclosable event. These events include one customer complaint, alleging that Lewandoski 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 $50,000.00 on April 30, 2020.

Misrepresentation, April 2018

There are Recent Customer Complaints with Broker James Kelly in Firm UBS Financial Services INC.

May 9, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Kelly (Kelly), currently associated with UBS Financial Services INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Kelly 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 $6,000,000.00 on April 24, 2020.

Time frame: Unspecified \<char_lb_r>\, Claimant’s counsel alleges unsuitability and misrepresentation with respect to recommendations to invest in and hold an options overlay strategy.

Broker John Fulton in UBS Financial Services INC. Firm Has Customer Complaint

May 9, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Fulton (Fulton), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Fulton 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 $1,400,000.00 on April 28, 2020.

Time frame: 2017-2019\<char_lb_r>\, Claimant’s counsel alleges unsuitability and misrepresentation with respect to recommendations to invest in and hold an options overlay strategy.

Broker Ryan Mallow in Fidelity Brokerage Services LLC Firm Has Customer Complaint

May 9, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ryan Mallow (Mallow), previously associated with Fidelity Brokerage Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mallow 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 $350,000.00 on May 01, 2020.

Arbitration statement of claim contained an allegation that representative misrepresented the level of risk associated with securities in a managed account.

Broker James Callaway in Ameriprise Financial Services, LLC Firm Has Customer Complaint

May 9, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Callaway (Callaway), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Callaway 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 $59,000.00 on April 29, 2020.

The client alleged the advisor provided incorrect information about mutual fund sales amounts.

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

May 9, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Mizzi (Mizzi), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Mizzi 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 $19,954.72 on April 26, 2020.

The customer alleges failure to follow instructions on March 11, 2020.

Broker David Zupek in Concorde Investment Services, LLC Firm Has Customer Complaint

May 9, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Zupek (Zupek), currently associated with Concorde Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Zupek 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 $145,715.00 on April 30, 2020.

Claim is alleging breach of contract, fraud, misrepresentation, breach of fiduciary duty and violation of FINRA rules.

There are Recent Customer Complaints with Broker Richard Snipes in Firm Raymond James & Associates, INC.

May 9, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Snipes (Snipes), currently associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Snipes 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 $8,082.00 on April 30, 2020.

Client alleges advisor gave incorrect information about taxes when withdrawing funds from an annuity. Alleged activity dates: 4/22/20 – 6/3/20

Broker Daniel Pye in Morgan Stanley Firm Has Customer Complaint

May 9, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on May 01, 2020.

Client alleges that his former fa purchased a corporate bond in his account without his authoization. 2020 damages unspecified

There are Recent Customer Complaints with Broker Gary Forrest in Firm American Portfolios Financial Services, INC.

May 9, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gary Forrest (Forrest), previously associated with American Portfolios Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Forrest 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 $300,000.00 on April 24, 2020.

Claimants allege violations of Federal Securities Laws, violation of Michigan Uniform Securities Act, violation of Michigan Consumer Protection Act, breach of contract, common law fraud, breach of fiduciary duty, and negligence.