Securities Lawyers Blog

Broker Steven Goldman in UBS Financial Services Inc. Firm Has Customer Complaint

February 8, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint on April 09, 2024.

The Department, based upon an investigation of the Respondent’s activities in this state, alleges that the Respondent has not complied with continuing education requirements mandated by Section 626.2815, Florida Statutes, and Rule 69B-228.220, Florida Administrative Code, for the compliance period ending February 29, 2024.

There are Recent Customer Complaints with Broker Craig Bonn in Firm Harley Capital LLC

February 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Craig Bonn (Bonn), currently associated with Harley Capital LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bonn 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 $500,000.00 on January 18, 2024.

Client alleges sales practice violations against the broker. Broker is not a named defendent

Broker Thomas Mcdevitt in Ameriprise Financial Services, Inc. Firm Has Customer Complaint

February 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Mcdevitt (Mcdevitt), previously associated with Ameriprise Financial Services, Inc., has at least one disclosable event. These events include one tax lien, alleging that Mcdevitt recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on September 27, 2023.

Respondent McDevitt 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.

There are Recent Customer Complaints with Broker Antonio Bauza in Firm Stonecrest Capital Markets, Inc.

February 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Antonio Bauza (Bauza), currently associated with Stonecrest Capital Markets, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Bauza 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 $350,000.00 on September 22, 2023.

Time frame: September 2015 – February 2017. Claimant alleges unsuitable investments and, breach of fiduciary duty.

There are Recent Customer Complaints with Broker Russell Rabito in Firm UBS Financial Services Inc.

February 8, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on July 15, 2023.

Time frame: Late 2017-2019, Allegations: Claimants allege unsuitability and misrepresentation with respect to recommendations to invest in and hold an options overlay strategy.

Broker Joanna Morgan in Bankers Life Securities, Inc. Firm Has Customer Complaint

February 7, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joanna Morgan (Morgan), previously associated with Bankers Life Securities, Inc., has at least one disclosable event. These events include one tax lien, alleging that Morgan recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on June 06, 2023.

Without admitting or denying the findings, Morgan consented to the sanction and to the entry of findings that she refused to provide information and documents requested by FINRA in connection with its investigation into the circumstances giving rise to a Form U5 filed by her member firm. The findings stated that the firm filed the Form U5 stating that it had discharged Morgan for altering health-related information on an insurance application.

There are Recent Customer Complaints with Broker Matthew Barks in Firm Park Avenue Securities LLC

February 7, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on August 06, 2023.

Client signed an affidavit of forgery alleging the RR forged his signature on a fixed life insurance policy cash surrender request form.

There are Recent Customer Complaints with Broker Ashley Upson in Firm PFS Investments Inc.

February 7, 2025 | by Staff Attorney

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

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

CLIENT ALLEGES THAT I MISREPRESENTED THE FEATURES OF HIS VARIABLE ANNUITY CONTRACT

Broker Don Hardison in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

February 7, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint on March 15, 2024.

Representative failed to provide requested documentation and failed to respond to inquiry from the state commissioner.

Broker Eric Long in LPL Financial LLC Firm Has Customer Complaint

February 7, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eric Long (Long), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Long 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 $275,000.00 on January 19, 2024.

Claimant alleges that during the time period March 2018 to December 2022, LPL failed to disclose the fees associated with servicing her employer’s 401k account.