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

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

Among other allegations, plaintiff alleges that in or about April 2019, he was persuaded to purchase what he was told was long term care coverage by taking a loan for $70,000. Plaintiff alleges he later learned that he purchased a New York Life insurance policy. Plaintiff also seeks a judgment in excess of $50,000 for alleged conversion of his property and monies.

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Currently financial advisor Peter Janssen (Janssen), currently employed by brokerage firm Janssen Partners, INC. has been subject to at least one disclosable event. These events include one customer complaint. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments such as direct participation products (DPPs) like business development companies (BDCs), non-traded real estate investment trusts (REITs), oil & gas programs, annuities, and private placements.  The attorneys at Gana Weinstein LLP have represented hundreds of investors who suffered losses caused by these types of high risk, low reward products.

FINRA BrokerCheck shows a award / judgment customer complaint with a damage request of $94,930.00 on January 05, 2023.

Claimant alleges terms of the Mega Blockchain private placement were misrepresented. Claimant alleges she was unsuitable for the investment. On or about December 28,\, 2017, Claimant invested $94,930.40 into the Mega Blockchain offering.

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

Claimants allege the RR recommended an unsuitable Oil & Gas Investment

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Mcpherson (Mcpherson), previously associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mcpherson 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 January 04, 2023.

Claimants allege breach of fid. Duty, breach of contract, fraud and negligence by CIS.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jose Rivas (Rivas), previously associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Rivas 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.

Client alleges that RR did not explain that a new variable policy would be issued to obtain a non-smoker rating.

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

FINRA BrokerCheck shows a settled customer complaint on December 30, 2022.

Customer alleges that investment of $25,000 in June 2012 was unsuitable and seeks unspecified damages.

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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.

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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.

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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.

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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.

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