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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Vassalotti (Vassalotti), previously associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Vassalotti 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 $974,094.12 on February 01, 2023.

Time Frame: October 30th, 1998 to August 1st, 2022\, \, What were the allegations against the individual? Counsel alleges that his client was recommended an unsuitable investment strategy in which material misrepresentations were made. Counsel further alleges the strategy was not purchased in the client’s best interest.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Smith (Smith), currently associated with Emerson Equity 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 on February 01, 2023.

Complaint is alleging suitability concerns relating to investments made in November 2019

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Carol Lemoult (Lemoult), previously associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lemoult 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 $625,592.85 on January 25, 2023.

Claimant alleges her Financial Advisor (FA) overconcentrated her account(s) in high-risk equity funds not suitable based on Claimant’s age.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Antun Domit (Domit), currently associated with Alterna Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Domit 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 $200,000.00 on February 03, 2023.

Client alleges that during the time period beginning October 26, 2021 and ending September 30, 2022, registered representative failed to provide advice regarding a deadline related  to a bankruptcy affecting client’s bonds, and further (and inaccurately) alleges that the advisor recommended that client hold the bonds rather than convert them. Client alleges that the described conduct resulted in expiration of the bonds under a court-ordered bankruptcy plan

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

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

Client alleges RR sold positions without their knowledge while rebalancing the client’s portfolio.

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The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Victor Furniss (Furniss), currently employed by Cetera Investment Services LLC has been subject to at least one disclosable event. These events include one customer complaint. According to records kept by The Financial Industry Regulatory Authority (FINRA), Furniss’s most recent customer complaint alleges that Furniss recommended unsuitable investments in structured products and makes allegations concerning misconduct relating to the handling of the customer’s accounts.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $100,000.00 on February 06, 2023.

Claimant alleges that their portfolio was overconcentrated in an unsuitable structured note and also that the risks and liquidity were misrepresented.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Rami Sassoon (Sassoon), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Sassoon 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 $300,000.00 on February 02, 2023.

Claimants allege they were recommended and overconcentrated in unsuitable investments.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brandon Bowman (Bowman), currently associated with Ameritas Investment Company, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bowman 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 $300,000.00 on February 02, 2023.

Claimant alleges they were recommended and overconcentrated in unsuitable investments.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Martin Brooks (Brooks), previously associated with United Planners’ Financial Services of America A Limited Partner, has at least one disclosable event. These events include one customer complaint, alleging that Brooks 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 February 01, 2023.

Claimant alleges breach of fiduciary duty, breach of contract, and misrepresentation.

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The law offices of Gana Weinstein LLP are currently investigating claims that Broker James Couture (Couture) has been accused by investors of engaging in fraudulent misappropriation of their funds. According to records kept by The Financial Industry Regulatory Authority (FINRA), it appears that Couture was employed by LPL Financial LLC at the time of the activity.  If you have been a victim of Couture’s alleged misconduct our firm may be able to assist you in recovering funds.

FINRA BrokerCheck shows a settled customer complaint on February 06, 2023.

Customer alleges misappropriation of funds between January 2011 and January 2020

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