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

FINRA BrokerCheck shows a settled customer complaint on November 10, 2022.

Client alleges FA did not follow his instructions to only purchase laddered CDs, but rather also purchased bonds which have decreased in value.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nicholas Paolicelli (Paolicelli), previously associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Paolicelli 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 $8,304.25 on November 09, 2022.

The customer alleges, due to misinformation provided by the RR, she only became aware after making a partial withdrawal from her variable annuity policy in August 2022, that it would result in a taxable event. The customer has requested that the transaction be reversed and the money returned to the policy to avoid taxes, penalties and surrender charges.

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According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Christopher Fusco (Fusco), previously associated with Joseph Stone Capital L.l.c., has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Fusco  concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $453,406.47 on November 10, 2022.

Suitability, Churning

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

FINRA BrokerCheck shows a pending customer complaint on November 14, 2022.

The complainant alleges that he was misled, and the investment strategy failed, and the advice and recommendations caused unnecessary loss and expenses.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nicholas Larsen (Larsen), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Larsen 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 $15,342.00 on November 15, 2022.

The clients submitted a complaint regarding the recommendation to purchase a HICOX mutual fund by a former CFS representative in February of 2021, which they subsequently sold in November of 2022. The clients allege that their former representative did not properly explain this mutual fund to them, insofar as they understood this mutual fund to be a conservative investment that would protect their principal. The clients have requested compensation for the losses they incurred upon selling their mutual fund investment.

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

FINRA BrokerCheck shows a settled customer complaint on November 09, 2022.

Claimants allege that from August 2012 through the end of 2021, the financial advisor misrepresented a non-traded fund.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eric Strom (Strom), previously associated with Cuso Financial Services, L.p., has at least one disclosable event. These events include one customer complaint, alleging that Strom 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 $109,073.11 on November 15, 2022.

Customer alleged that representative failed to follow instructions to sell all positions as part of a transfer of three accounts in May 2022. The positions were not liquidated until October 2022 resulting in losses

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nitin Bahirwani (Bahirwani), currently associated with B. Riley Wealth Management, has at least one disclosable event. These events include one customer complaint, alleging that Bahirwani 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 $900,000.00 on November 07, 2022.

Breach of fiduciary duty, breach of contract

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jason Rudolph (Rudolph), currently associated with Stifel, Nicolaus & Company, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Rudolph 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 $20,292.00 on November 10, 2022.

Failure to follow instructions.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Dixon (Dixon), currently associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Dixon 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 November 08, 2022.

Misrepresentation and Suitability. 3/21/2008 thru 9/27/2021

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