Reg BI

Broker Phillip Cartwright in Osaic Wealth, INC. Firm Has Customer Complaint

October 24, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Phillip Cartwright (Cartwright), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Cartwright 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 $75,000.00 on December 16, 2022.

Claimants allege certain direct/limited partnership investment recommendations were not in keeping with their needs and objectives; that the product features were not adequately described; and that their portfolio was overly concentrated in such products, causing alleged losses.

There are Recent Customer Complaints with Broker Roderick Von Lipsey in Firm UBS Financial Services INC.

October 24, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Roderick Von Lipsey (Von Lipsey), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Von Lipsey 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 $1,900,000.00 on December 14, 2022.

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

Broker Raymond Sardina in Janney Montgomery Scott LLC Firm Has Customer Complaint

October 24, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Raymond Sardina (Sardina), currently associated with Janney Montgomery Scott LLC, has at least one disclosable event. These events include one customer complaint, alleging that Sardina 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 $1,500,000.00 on December 16, 2022.

Upon former FA’s termination of employment, the inheriting FA inappropriately invested him in speculative high-risk investments using margin, including investments in equity-linked securities focused on energy and biotech and concentrated positions.

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

October 24, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kery Hutner (Hutner), currently associated with Wells Fargo Advisors Financial Network, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hutner 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 $32,671.99 on December 19, 2022.

Arbitration: Claimant, acting in the capacity as a Power of Attorney, alleges unsuitable investments were recommended on or about 2020 for his client.\, Complaint: POA complained that the financial advisor recommended repositioning from individual mutual funds to a managed mutual fund portfolio with no benefit, and additional costs, to the customer. (1/29/2020-8/15/2022)

There are Recent Customer Complaints with Broker Jeffrey Crum in Firm Fidelity Brokerage Services LLC

October 24, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Crum (Crum), currently associated with Fidelity Brokerage Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Crum 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 December 14, 2022.

Customer alleged that the variable annuity was an unsuitable investment for her investment needs.

There are Recent Customer Complaints with Broker Richard Lepine in Firm LPL Financial LLC

October 24, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on December 15, 2022.

Client alleges advisor failed to advise her that a variable life insurance policy ensuring her father would lapse when her father turned 100.

Broker Loris Rose in Centaurus Financial, INC. Firm Has Customer Complaint

October 24, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Loris Rose (Rose), currently associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Rose 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 December 19, 2022.

During 2021, the customer alleges that the Registered Representative recommended a complex, high-risk and illiquid investment.

Broker Nicole Narkus in Raymond James Financial Services, INC. Firm Has Customer Complaint

October 23, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on December 21, 2022.

Client alleges former Financial Advisor recommended the sell of indexed annuities in December 2021, creating large penalties and tax implications.

Broker Danielle Scodellaro in LPL Financial LLC Firm Has Customer Complaint

October 23, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Danielle Scodellaro (Scodellaro), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Scodellaro 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 $233,512.83 on December 21, 2022.

The customer alleged the variable annuity contract was misrepresented, and sought to have it rescinded. 2/24/2023 – following a secondary review, the firm concluded that its representative, Ms. Scodellaro, did not make any misrepresentation to the customer. Nonetheless because the customer apparently did not fully understand the product, the firm determined that a settlement for the difference between the current contract value and the original principal investment was appropriate and in the interests of the customer.

Broker Jonathan Miller in Vcs Venture Securities Firm Has Customer Complaint

October 23, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jonathan Miller (Miller), currently associated with Vcs Venture Securities, has at least one disclosable event. These events include one customer complaint, alleging that Miller 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 $69,062.42 on December 22, 2022.

SUITABILITY AND CHURNING, BREACH OF FUDUCIARY DUTY, BREACH OF CONTRACT, NEGLIGENCE, MISREPRESENTATION AND OMISSION OF FACTS, AND LOST OPPORTUNITY AND PUNITIVE DAMAGES.