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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Anthony Taylor (Taylor), currently associated with Nylife Securities LLC, 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 settled customer complaint on September 22, 2023.

The Customer alleges they received inaccurate information related to the charges associated with their mutual fund account, which resulted in unanticipated withdrawal charges.

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The law offices of Gana Weinstein LLP are currently investigating claims that Broker Edgar Kleydman (Kleydman) 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 Kleydman was employed by MML Investors Services, LLC at the time of the activity.  If you have been a victim of Kleydman’s alleged misconduct our firm may be able to assist you in recovering funds.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $1,000,000.00 on September 26, 2023.

Claimant alleges RR engaged in ‘selling away‘ by selling Claimant investments not sold by the brokerage firm,  and then allegedly misrepresented the return on investment and made a guarantee associated with Claimant’s funds.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stephen Medina (Medina), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Medina 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 $782,500.00 on September 27, 2023.

Client alleges misrepresentations and unsuitable investments between February 2022 and December 2022.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ramiro Colon (Colon), currently associated with Acp Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Colon 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 $5,000,000.00 on September 22, 2023.

Time frame: Unspecified. Allegations: Claimants allege that the Financial Advisor\, mispresented the risks of Puerto Rico closed-end funds.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dorann Hurley (Hurley), currently associated with Geneos Wealth Management, INC., has at least one disclosable event. These events include one customer complaint, alleging that Hurley 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 $519,475.00 on September 26, 2023.

Clients allege that accounts held with Respondents were not properly managed and assert various causes of action arising from management of the accounts at issue.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Leslie Highley (Highley), previously associated with UBS Financial Services Incorporated of Puerto Rico, has at least one disclosable event. These events include one customer complaint, alleging that Highley recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on September 22, 2023.

Time frame:   Unspecified.\, \, Allegations: Claimants allege that the Financial Advisor mispresented the risks of Puerto Rico closed-end funds.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Neil Kitchie (Kitchie), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kitchie 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 $50,001.00 on September 27, 2023.

Customer alleges representative made unsuitable recommendations to purchase alternative investments during the time period 2010-2014.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker S Powers (Powers), previously associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Powers 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 $550,000.00 on September 26, 2023.

Claimant alleges, inter alia, breach of fiduciary duty with respect to the lack of detection of the alleged outside fraud perpetuated against the client.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Douglas Coleman (Coleman), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Coleman 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 $70,000.00 on September 22, 2023.

Claimant alleges LPL representatives made an unsuitable recommendation in 2013 to purchase an alternative investment.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Miguel Ferrer (Ferrer), previously associated with UBS Financial Services Incorporated of Puerto Rico, has at least one disclosable event. These events include one customer complaint, alleging that Ferrer recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on September 22, 2023.

Time frame:   Unspecified.\, \, Allegations: Claimants allege that the Financial Advisor mispresented the risks of Puerto Rico closed-end funds.

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