Securities Lawyers Blog

There are Recent Customer Complaints with Broker Sean Mccann in Firm Nylife Securities LLC

February 4, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sean Mccann (Mccann), currently associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mccann 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 $55,000.00 on November 04, 2024.

The customer alleges he was not advised to reallocate his variable universal insurance policy purchased in october 1999 from a money market account he placed it in during a market downturn and that now his policy has lapsed. The customer has requested a refund of premiums paid.

Broker Chuck Roberts in Stifel, Nicolaus & Company, Incorporated Firm Has Customer Complaint

February 4, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Chuck Roberts (Roberts), currently associated with Stifel, Nicolaus & Company, Incorporated, has at least 18 disclosable events. These events include 18 customer complaints, alleging that Roberts 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 $5,000,000.00 on December 05, 2024.

Claimant alleges breach of fiduciary duty, negligence, fraud, breach of contract, and violation of sections 10(b) and 20(a) of the securities exchange act and rule 10b-5.

There are Recent Customer Complaints with Broker Robert Vance in Firm Moloney Securities Co., Inc.

February 4, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Vance (Vance), previously associated with Moloney Securities Co., Inc., has at least 14 disclosable events. These events include 13 customer complaints, one civil event, alleging that Vance 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 $156,000.00 on November 25, 2024.

Suitability/negligence. 2018-2021

There is a Customer Complaint with Broker Douglas Charney with Prospera Financial Services

February 4, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Douglas Charney (Charney), currently associated with Prospera Financial Services, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Charney 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 November 12, 2024.

Client complains of poor account performance from october 2021 to the present.

There are Recent Customer Complaints with Broker Arthur Taylor in Firm LPL Financial LLC

February 4, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Arthur Taylor (Taylor), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Taylor 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 $305,106.82 on December 03, 2024.

Claimants allege that following their father’s death, assets were improperly transferred from an account he held without transfer-on-death (‘tod’) instructions to an account he held with tod instructions and then transferred to claimants pursuant to the tod instructions. Allegation activity dates: april 28, 2011 – january 1, 2019.

There are Recent Customer Complaints with Broker Gerard Costello in Firm UBS Financial Services Inc.

February 4, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gerard Costello (Costello), currently associated with UBS Financial Services Inc., has at least one disclosable event. These events include one customer complaint, alleging that Costello 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 $620,000.00 on December 16, 2024.

Time frame: 2018, claimant’s counsel alleges unsuitability and misrepresentation with respect to recommendations to invest in and hold an options overlay strategy. Counsel further states clients were placed in an investment that was not in their best interest.

There are Recent Customer Complaints with Broker Francis Schiavetti in Firm A.G.P. / Alliance Global Partners

February 4, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Francis Schiavetti (Schiavetti), currently associated with A.G.P. / Alliance Global Partners, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Schiavetti recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on November 15, 2024.

After client passed away his estate alleged breach of fiduciary duty, fraud by misrepresentation, nd negligence between the years 2016-2018.

There are Recent Customer Complaints with Broker Michael Corrada Formerly with Center Street Securities

February 4, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on November 13, 2024.

The claimant alleges unsuitable investments.

There is A Recent Customer Complaint with Advisor Brittany Ingman with Merrill Lynch

February 3, 2025 | by Staff Attorney

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

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

The client alleges misrepresentation related to the beneficiary of an ira.

There are Recent Customer Complaints with Broker James Defelice in Firm Equitable Advisors, LLC

February 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Defelice (Defelice), currently associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Defelice 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 November 01, 2024.

Client alleges the rr misrepresented the fees and terms of vul policy issued in 2023.