Reg BI

There are Recent Customer Complaints with Broker Andrew Lowe in Firm Dempsey Lord Smith, LLC

October 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andrew Lowe (Lowe), previously associated with Dempsey Lord Smith, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lowe 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, 2023.

The clients allege the investments they purchased in 2015 were unsuitable and misrepresented to the by the representative. They further allege the firm did not supervise the activities of the representative.

There are Recent Customer Complaints with Broker Lawrence Friedman in Firm MML Investors Services, LLC

October 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lawrence Friedman (Friedman), currently associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Friedman 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, 2023.

The complainants alleges that their registered representative, on May 04, 2022, sold their preferred stock, at a loss, without their knowledge.

Broker Scott Harris in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

October 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Scott Harris (Harris), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Harris recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on January 03, 2023.

Customer alleges unsuitable investment recommendation and failure to act in the best interest of the customer in 2020 and 2021.

There are Recent Customer Complaints with Broker Stephan Stein in Firm Joseph Gunnar & CO. LLC

October 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stephan Stein (Stein), currently associated with Joseph Gunnar & CO. LLC, has at least one disclosable event. These events include one customer complaint, alleging that Stein 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 $2,100,328.00 on December 30, 2022.

The Statement of Claim alleges that Mr. Stein failed to reasonably supervise the broker of record for this account.

Broker Anthony Dorsey in PFS Investments INC. Firm Has Customer Complaint

October 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Anthony Dorsey (Dorsey), currently associated with PFS Investments INC., has at least one disclosable event. These events include one customer complaint, alleging that Dorsey 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 $31,131.66 on January 04, 2023.

CUSTOMER ALLEGED I FAILED TO INFORM HER OF THE FREE-LOOK PERIOD, ALLOWING HER TO SURRENDER HER VARIABLE ANNUITY CONTRACT TIMELY, WITHOUT PENALTY.

Broker Kevin Brennan in Andrew Garrett INC. Firm Has Customer Complaint

October 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Brennan (Brennan), previously associated with Andrew Garrett INC., has at least one disclosable event. These events include one customer complaint, alleging that Brennan 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 January 03, 2023.

unsuitabILITY,breach of fiduciary breach of contract

There are Recent Customer Complaints with Broker Jorge Alvarez in Firm Truist Investment Services, INC.

October 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jorge Alvarez (Alvarez), currently associated with Truist Investment Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Alvarez 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 $100,000.00 on January 03, 2023.

Client alleges investment was unsuitable.

Broker Charles Taylor in World Equity Group, INC. Firm Has Customer Complaint

October 22, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint with a damage request of $2,200,000.00 on January 03, 2023.

Respondents Recommended Third Party Administrators Who Stole Nearly all the Plans’\, Savings; Respondents did not Report any of it. Claimants are reporting failure of fiduciary responsibility of the Mr. Taylor and World Equity Group, Inc who is the employing broker dealer of Mr. Taylor

Broker Cheryl Richardson in MML Investors Services, LLC Firm Has Customer Complaint

October 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Cheryl Richardson (Richardson), currently associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Richardson 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 $46,873.00 on January 03, 2023.

The complainant, who was the customer’s POA, alleges that in 2021, the rep annuitized the customer’s variable annuity and didn’t explain that if the customer didn’t live to the end of the 5 year contract, the remaining amount in the account would be forfeited. The complainant alleges that the rep illustrated one plan but put the customer’s funds into something different. The complainant wants the balance of the customer’s account returned.

Broker Morgan Hees in UBS Financial Services INC. Firm Has Customer Complaint

October 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Morgan Hees (Hees), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Hees 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 $637,686.15 on January 03, 2023.

Time frame: June 28, 2021 to December 26, 2021\, \, Allegations: Clients allege unsuitability in connection with the merger for certain holdings, which resulted in principal losses.