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

FINRA BrokerCheck shows a settled customer complaint on February 06, 2024.

The Customer alleges the recommendation to replace his surrender charge-free variable annuity with two (2) fixed annuities in May 2023 resulted in a new surrender charges schedule and new fees. The customer has requested the rescission of the fixed annuities and      the restoration of the variable annuity.

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

FINRA BrokerCheck shows a settled customer complaint on February 08, 2024.

Customer alleges that investments made in 2013 were unsuitable for the customer’s investment objectives and risk tolerance.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Woo (Woo), currently associated with Transamerica Financial Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Woo 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 $5,000.00 on February 07, 2024.

Claimant alleges representative failed to assist client, her deceased spouse, with making premium payments and avoid lapse of coverage.

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

FINRA BrokerCheck shows a pending customer complaint on February 08, 2024.

Customer alleges that an investment made in 2014 was unsuitable for the customer’s investment objectives and risk tolerance.

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

FINRA BrokerCheck shows a pending customer complaint on February 08, 2024.

Customer alleges that an investment made in 2014 was unsuitable for the customer’s investment objectives and risk tolerance.

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

FINRA BrokerCheck shows a pending customer complaint on February 08, 2024.

Customer alleges that an investment made in 2014 was unsuitable for the customer’s investment objectives and risk tolerance.

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

FINRA BrokerCheck shows a pending customer complaint on February 08, 2024.

Customer alleges that investments made in 2014 were unsuitable for the customer’s investment objectives and risk tolerance.

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The law offices of Gana Weinstein LLP are currently investigating claims that Broker Dan Droeg (Droeg) 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 Droeg was employed by United Planners’ Financial Services of America A Limited Partner at the time of the activity.  If you have been a victim of Droeg’s alleged misconduct our firm may be able to assist you in recovering funds.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $980,000.00 on February 06, 2024.

Misappropriation of client funds. Alleged activity occurred July 2009 to April 2016.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joshua Washington (Washington), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Washington 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 $115,070.00 on February 12, 2024.

Claimant alleges, inter  alia, that the client did not authorize the use of margin to fund a wire transfer and that his instructions to liquidate securities to fund the transfer were not followed

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Donte Lambert (Lambert), previously associated with Pnc Investments, has at least one disclosable event. These events include one customer complaint, alleging that Lambert 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 $6,484.00 on February 12, 2024.

Client alleged market linked CD recommendation was not consistent with her intent to purchase a bank CD.

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