Securities Lawyers Blog

Broker John Jaeger in Cambridge Investment Research, INC. Firm Has Customer Complaint

June 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Jaeger (Jaeger), currently associated with Cambridge Investment Research, INC., has at least one disclosable event. These events include one customer complaint, alleging that Jaeger 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 $25,000.00 on November 17, 2023.

Claimants allege that RR made an unsuitable recommendation for investment in a REIT.

Broker Marcie Daleo in Morgan Stanley Firm Has Customer Complaint

June 28, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on November 17, 2023.

CLIENT ALLEGES, INTER ALIA, THAT PURCHASE OF VARIABLE ANNUITY IN 2022 WAS UNSUITABLE

There are Recent Customer Complaints with Broker David Simon in Firm Western International Securities, INC.

June 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Simon (Simon), currently associated with Western International Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Simon 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 $150,000.00 on November 16, 2023.

Misrepresentation

There are Recent Customer Complaints with Broker Larry Tolbert in Firm Lion Street Financial, LLC

June 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Larry Tolbert (Tolbert), currently associated with Lion Street Financial, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Tolbert 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 $95,000.00 on November 16, 2023.

Claimant alleges various claims against the firm and the registered representative in connection with the recommendation, on or about December 9, 2021, of an alternative investment

Broker William Romeo in Rnr Securities, L.l.c. Firm Has Customer Complaint

June 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Romeo (Romeo), currently associated with Rnr Securities, L.l.c., has at least one disclosable event. These events include one customer complaint, alleging that Romeo 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 $115,000.00 on November 14, 2023.

Claimant asserts various causes of action relating to securities transactions and asserts damages of approximately $115,000. The respondents deny any allegations of wrongdoing and will prove before FINRA that the positions at issue in the claim were never recommended to Claimant, that she never held an account that purchased the positions at issue.

There are Recent Customer Complaints with Broker Jack Yvars in Firm Osaic Wealth, INC.

June 27, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jack Yvars (Yvars), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Yvars 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 $104,624.00 on November 20, 2023.

Clients allege that certain mutual fund recommendations were not in keeping with their investment needs and objectives.

There are Recent Customer Complaints with Broker Joshua Puccini in Firm Northwestern Mutual Investment Services, LLC

June 27, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joshua Puccini (Puccini), currently associated with Northwestern Mutual Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Puccini 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 November 20, 2023.

Complainant alleges that on the advice of her representatives, she sold securities at her E*Trade account resulting in tax implications.

Broker John Weber in Triad Advisors, INC. Firm Has Customer Complaint

June 27, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Weber (Weber), previously associated with Triad Advisors, INC., has at least one disclosable event. These events include one customer complaint, alleging that Weber 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 $100,000.00 on November 20, 2023.

The Claimant alleges that the financial professional sold an alternative investment that was unsuitable.

Broker Hanna Grichanik in Northwestern Mutual Investment Services, LLC Firm Has Customer Complaint

June 27, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Hanna Grichanik (Grichanik), currently associated with Northwestern Mutual Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Grichanik 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 November 20, 2023.

Complainant alleges that on the advice of her representatives, she sold securities at her E*Trade account resulting in tax implications.

Broker William Simmermon in LPL Financial LLC Firm Has Customer Complaint

June 27, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on November 21, 2023.

Claimant alleges REIT purchased was unsuitable.