Securities Lawyers Blog

Broker Brian Kennedy in Cambridge Investment Research, Inc. Firm Has Customer Complaint

February 18, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Kennedy (Kennedy), currently associated with Cambridge Investment Research, Inc., has at least 6 disclosable events. These events include 6 customer complaints, alleging that Kennedy 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 $81,000.00 on December 30, 2024.

Claimants allege the RR recommended an unsuitable Oil & Gas investment.

Broker Tom Anselmi in Osaic Wealth, Inc. Firm Has Customer Complaint

February 18, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Tom Anselmi (Anselmi), currently associated with Osaic Wealth, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Anselmi 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 December 30, 2024.

Claimant alleges their RR recommended an unsuitable Oil and Gas investment.

Broker Christopher Cavallaro in LPL Financial LLC Firm Has Customer Complaint

February 18, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Cavallaro (Cavallaro), currently associated with LPL Financial LLC, has at least 8 disclosable events. These events include 8 customer complaints, alleging that Cavallaro 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 $40,000.00 on December 30, 2024.

CLAIMANTS ALLEGE THE RR RECOMMENDED AN UNSUITABLE OIL & GAS INVESTMENT

Broker John Ulwick in LPL Financial LLC Firm Has Customer Complaint

February 18, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Ulwick (Ulwick), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Ulwick 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 $70,000.00 on December 30, 2024.

CLAIMANT ALLEGES THE RR RECOMMENDED AN UNSUITABLE OIL & GAS INVESTMENT

There are Recent Customer Complaints with Broker J craig Mcilroy in Firm LPL Financial LLC

February 18, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker J craig Mcilroy (Mcilroy), currently associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Mcilroy 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 December 30, 2024.

Claimant alleges the RR recommended an unsuitable Oil & Gas investment.

Broker Osvaldo Puccinelli in Lincoln Financial Securities Corporation Firm Has Customer Complaint

February 18, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Osvaldo Puccinelli (Puccinelli), previously associated with Lincoln Financial Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Puccinelli 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 $35,000.00 on December 30, 2024.

Claimant alleges the RR recommended an unsuitable Oil & Gas investment.

Broker George Gay in Cetera Advisors LLC Firm Has Customer Complaint

February 18, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker George Gay (Gay), previously associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Gay 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 $40,000.00 on December 30, 2024.

CLAIMANT ALLEGES THE RR RECOMMENDED AN UNSUITABLE OIL & GAS INVESTMENT

Broker Joseph Darracq in Kestra Investment Services, LLC Firm Has Customer Complaint

February 18, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Darracq (Darracq), previously associated with Kestra Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Darracq 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 $40,000.00 on December 30, 2024.

Claimant alleges the RR recommended an unsuitable Oil & Gas investment

Broker Mark Creason in Metric Financial, LLC Firm Has Customer Complaint

February 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Creason (Creason), currently associated with Metric Financial, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Creason recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on January 06, 2025.

The customer believes he was sold unsuitable real estate investments.

Broker Steven Blanchard in LPL Financial LLC Firm Has Customer Complaint

February 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven Blanchard (Blanchard), previously associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 regulatory, alleging that Blanchard recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on January 06, 2025.

Respondent Blanchard failed to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA request to provide information concerning the status of compliance.