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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sean Muhlstein (Muhlstein), currently associated with Voya Financial Advisors, INC., has at least one disclosable event. These events include one customer complaint, alleging that Muhlstein 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.

Complainant alleges that Representative advised Complainant to include misleading and/or false information on an insurance application regarding Complainant’s employment status and income sources.

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

FINRA BrokerCheck shows a settled customer complaint on February 05, 2024.

Customer alleges that the investment selections in a managed investment advisory account that was recommended in or around October 2021, are unsuitable. The customer is unhappy with the performance of the account, the proceeds of which, were intended to fund a life insurance plan.

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

FINRA BrokerCheck shows a settled customer complaint on January 31, 2024.

Customer alleges unauthorized trading regarding managed account investments. Activity dates 11.30.23 – 12.14.23.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kenneth Ibbetson (Ibbetson), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Ibbetson 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, 2024.

Customer complained that commissions should not have been charged to liquidate securities that had been purchased in advisory/fiduciary account. (5/18/2023-8/14/2023)

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Damon Mapes (Mapes), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mapes 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 $250,000.00 on February 05, 2024.

Customer alleges representative made unsuitable investment recommendations.

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

FINRA BrokerCheck shows a settled customer complaint on January 31, 2024.

Customer alleges the three (3) separate Variable Annuity policies she purchased beginning in January 2019 – March 2021, were not suitable recommendations and requests a waiver of surrender charges.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brandon Morrow (Morrow), currently associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Morrow 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 $900,000.00 on February 05, 2024.

The client alleges misrepresentation and omission of investment information.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Theodore Byrer (Byrer), previously associated with International Assets Advisory, LLC, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Byrer recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on February 01, 2024.

Claimant Alleges, inter alia, unsuitability with respect to investments – January 2019 through August 2022

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Paoletti (Paoletti), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Paoletti 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 $40,000.00 on February 02, 2024.

Executrix alleged, inter alia, that the margin debit balance in the deceased client’s account was not managed in the best interests of the estate while the estate was being settled   2016-2023

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Teena Bourque (Bourque), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Bourque recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on February 05, 2024.

Client alleges misrepresentation of fee structures from 6/2/2023-1/31/2024.

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