Reg BI

There are Recent Customer Complaints with Broker John Leonard in Firm Wells Fargo Advisors

February 1, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on July 20, 2021.

Claimant alleges that from 2012 and 2016, the FA made unsuitable investment recommendations.

There are Recent Customer Complaints with Broker Stephanie Lampley in Firm PFS Investments INC.

February 1, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stephanie Lampley (Lampley), currently associated with PFS Investments INC., has at least one disclosable event. These events include one customer complaint, alleging that Lampley 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 $5,709.00 on July 14, 2021.

A CLIENT ALLEGED THAT THE REPRESENTATIVE PROVIDED INCORRECT INFORMATION FOR A ROLLOVER OF FUNDS FROM A STATE EMPLOYEE RETIREMENT PLAN, WHICH LED TO THAT CLIENT INCURRING TAX CONSEQUENCES

There are Recent Customer Complaints with Broker Patrick Mead in Firm Equitable Advisors, LLC

February 1, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Patrick Mead (Mead), currently associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mead 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 July 15, 2021.

Claimant generally alleges suitability, common law fraud, breach of contract, negligence, and breaches of duty and contract.

There are Recent Customer Complaints with Broker Stephen Angelis in Firm LPL Financial LLC

February 1, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stephen Angelis (Angelis), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Angelis 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 July 15, 2021.

April 2019-2021

There are Recent Customer Complaints with Broker Joseph Sanders in Firm Westpark Capital, INC.

February 1, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Sanders (Sanders), currently associated with Westpark Capital, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Sanders 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 $500,000.00 on July 19, 2021.

Claim alleges breach of fiduciary duty, negligence, negligent misrepresentation regarding the activity in the account. Claim alleges that respondent provided false information and did not allow the client to access the account online.

There are Recent Customer Complaints with Broker Robert Bortz in Firm Ameriprise Financial Services, LLC

February 1, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on July 15, 2021.

The client alleges the RR did not explain the contract fees for a variable annuity sold in 2020.

There are Recent Customer Complaints with Broker Bennett Herzfeld in Firm Carter, Terry & Company, INC.

February 1, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on July 20, 2021.

Suitability

Broker Peter Sullivan in D. Boral Capital Firm Has Customer Complaint

January 31, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Peter Sullivan (Sullivan), currently associated with D. Boral Capital, has at least one disclosable event. These events include one customer complaint, alleging that Sullivan 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 $17,000.00 on July 21, 2021.

Client alleges failure to follow instructions and poor performance.

There are Recent Customer Complaints with Broker Philip Sessoms in Firm Mutual of Omaha Investor Services, INC.

January 31, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Philip Sessoms (Sessoms), currently associated with Mutual of Omaha Investor Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Sessoms 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 $5,000.00 on July 21, 2021.

Clients alleged they incurred tax liability resulting from the representative’s guidance to sell company stock options in order to pay life insurance premiums. The firm’s review found no evidence of mishandling by the representative. To bring resolution to this matter, the insurance company rescinded clients’ fixed life insurance contracts with premiums refunded.

Broker Joseph Kazlau in MML Investors Services, LLC Firm Has Customer Complaint

January 31, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on July 21, 2021.

Client alleges the RR misrepresented a variable insurance policy sold in 2021.