Reg BI

There are Recent Customer Complaints with Broker Norman Mcneill in Firm Triad Advisors, INC.

January 31, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a award / judgment customer complaint on July 21, 2021.

McNeill was named in a customer complaint that asserted the following causes of action: violating the Alabama Securities Act, unsuitability, negligent misrepresentation and negligent suppression, breach of fiduciary duty, negligence, breach of contract, and controlling person liability.

There are Recent Customer Complaints with Broker Daniel Palmer in Firm Cetera Wealth Services, LLC

January 31, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Palmer (Palmer), currently associated with Cetera Wealth Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Palmer 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 $99,999.00 on July 21, 2021.

Claimant alleges Cetera and their registered representative made unsuitable recommendations.

There are Recent Customer Complaints with Broker Galen Foster in Firm Stifel, Nicolaus & Company, Incorporated

January 31, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Galen Foster (Foster), currently associated with Stifel, Nicolaus & Company, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Foster 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 $111,005.61 on July 20, 2021.

Customer alleges registered representative never mentioned that investment was a junk bond and failed to safeguard investment. 9/14/19 through 7/2/20

Broker Eric Hynden in UBS Financial Services INC. Firm Has Customer Complaint

January 31, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a award / judgment customer complaint with a damage request of $1,400,000.00 on July 21, 2021.

Eric Hynden was named in a customer complaint that asserted the following causes of action: breach of duty of confidentiality; breach of fiduciary duty; and failure to supervise in violation of FINRA Rule 3110.

Broker Lawrence Davis in Crown Capital Securities, L.p. Firm Has Customer Complaint

January 31, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lawrence Davis (Davis), previously associated with Crown Capital Securities, L.p., has at least one disclosable event. These events include one customer complaint, alleging that Davis 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 $25,000.00 on July 22, 2021.

The customer alleges lack of suitability, overconcentration and misrepresentation in regards to an investment in an alternative product.

Broker Edward Lane in Royal Alliance Associates, INC. Firm Has Customer Complaint

January 31, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Edward Lane (Lane), previously associated with Royal Alliance Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Lane 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 20, 2021.

Claimants allege that the representative recommended investments that were unsuitable.

There are Recent Customer Complaints with Broker Nicola Caporaso in Firm MML Investors Services, LLC

January 30, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nicola Caporaso (Caporaso), currently associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Caporaso 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 July 27, 2021.

The complainant alleges that in or around 2014, the rep made unsuitable recommendations and recommended investments that were not consistent with the complainant’s risk tolerance. She further alleges that the rep forged her signature and falsified her insurance application.

Broker David Kennon in First Allied Securities, INC. Firm Has Customer Complaint

January 30, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Kennon (Kennon), previously associated with First Allied Securities, INC., has at least 3 disclosable events. These events include 3 customer complaints, alleging that Kennon 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 $100,000.01 on July 22, 2021.

Claimant alleges their registered representative recommended unsuitable investments. Claimant generally alleges unsuitability, due diligence, breach of contract, negligence, and fraud.

There are Recent Customer Complaints with Broker Sylvia Gort in Firm Morgan Stanley

January 30, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on July 29, 2021.

CLIENT VERBALLY ALLEGED IN APRIL 2021 THAT SHE DID NOT AUTHORIZE THE SALE OF 2000 SHARES OF SMED WHICH HAD BEEN SOLD IN HER ACCOUNT BACK IN DECEMBER 2018. THE CLAIM WAS SETTLED FOR $30,283.59.

There are Recent Customer Complaints with Broker Aaron Sevigny in Firm United Planners’ Financial Services of America A Limited Partner

January 30, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Aaron Sevigny (Sevigny), currently associated with United Planners’ Financial Services of America A Limited Partner, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Sevigny recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on July 23, 2021.

Unsuitability, common law fraud, breach of contract, breach of fiduciary duty, negligence, aiding and abetting fraud and violation of Florida Securities Act.