Securities Lawyers Blog

There are Recent Customer Complaints with Broker Stephen Marotto in Firm Morgan Stanley

April 15, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stephen Marotto (Marotto), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Marotto 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 $200,000.00 on February 26, 2025.

Customers allege misrepresentation and unsuitable investment recommendation. Activity dates August 2021-May 2024.

There are Recent Customer Complaints with Broker Chi I Huang in Firm Integral Financial LLC

April 15, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Chi I Huang (Huang), currently associated with Integral Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Huang 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 $350,000.00 on February 25, 2025.

Customer contacted Integral Financial LLC on 02/10/2025. Other RR pick up the phone and offer service, but [REDACTED] insist Ms. Huang to call him back. Customer tried to sell notes, but claims integral Financial didn’t return the phone call. Customer came to Integral Financial LLC office and knock the wrong door and assume we abandon our office.

There are Recent Customer Complaints with Broker Lara Shogren in Firm Cuso Financial Services, L.p.

April 15, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lara Shogren (Shogren), currently associated with Cuso Financial Services, L.p., has at least 3 disclosable events. These events include 3 customer complaints, alleging that Shogren 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 $12,400.00 on February 26, 2025.

Client sent letter alleging PCA stated she would receive 3% on her Symetra annuity for the last two years of the contract.

Broker Mark Connolly in Wells Fargo Clearing Services, LLC Firm Has Customer Complaint

April 15, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on February 26, 2025.

Claimant alleges that from 2021 through 2022, the FA made unsuitable investments and unauthorized trading which resulted in losses.

There are Recent Customer Complaints with Broker Dwayne Stallings in Firm Raymond James Financial Services, INC.

April 15, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dwayne Stallings (Stallings), currently associated with Raymond James Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Stallings 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 $47,300.00 on February 21, 2025.

Client alleged that advisor guaranteed a rate of return that was not achieved, that they did not disclose risk of loss of principle, and did not update investment strategy after inheriting funds.

There are Recent Customer Complaints with Broker Robert Rotunno in Firm Spartan Capital Securities, LLC

April 15, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Rotunno (Rotunno), currently associated with Spartan Capital Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Rotunno 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 $251,250.00 on February 25, 2025.

Customer alleges 1 unsuitable product sold at Tigress Financial Partners in 2019. The other allegations occurred at different Firms not named in the Arbitration. The Arbitration also names National Securities Corporation as a Respondent.

Broker Eric Delaney in LPL Financial LLC Firm Has Customer Complaint

April 15, 2025 | by Staff Attorney

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Eric Delaney (Delaney), currently associated with LPL Financial LLC, has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Delaney concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.

FINRA BrokerCheck shows a pending customer complaint on February 27, 2025.

Statement of Claim alleges an investment recommendation was made for the purpose of generating high commissions and fees and that Claimants were deprived of the ability to generate reasonable returns that would have been received in a diversified portfolio.

There are Recent Customer Complaints with Broker James Mashey in Firm LPL Enterprise, LLC

April 15, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Mashey (Mashey), currently associated with LPL Enterprise, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mashey 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 $60,000.00 on February 25, 2025.

Customer Alleges that the rep did not fully disclose all the facts (information) regardingfees, charges and expenses. This matter is being reported consistent with FINRA rulespertaining to the reporting of certain written customer complaints. The company by thisfiling makes no allegations regarding the actions of the representative.

There are Recent Customer Complaints with Broker John Geoghan in Firm UBS Financial Services INC.

April 15, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Geoghan (Geoghan), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Geoghan 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 $50,000.00 on February 26, 2025.

Time frame: 2019-2021 \, Allegations: Claimant alleges failure to supervise in regards to the unsuitability of certain investments in their account.

There are Recent Customer Complaints with Broker Jeffrey Perryman in Firm Nylife Securities LLC

April 15, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Perryman (Perryman), previously associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Perryman 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 $2,436,000.00 on February 24, 2025.

The Claimants/Plaintiffs allege, among other things, that beginning in May 2017, Class A mutual fund shares were liquidated and repurchased; they were sold a large number of Variable Universal Life and Whole Life Insurance policies in excess of their insurance needs, and they were charged inappropriate advisory fees. The Customers seek rescission of the policies and refunding of all advisory fees, interest, and costs.