Securities Lawyers Blog

There are Recent Customer Complaints with Broker Jason Weese in Firm Merrill Lynch, Pierce, Fenner & Smith Incorporated

February 3, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on December 03, 2024.

The client alleges failure to follow instructions from october 7 to december 6, 2024

There are Recent Customer Complaints with Broker Jeffery Sprague in Firm Cetera Advisors LLC

February 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffery Sprague (Sprague), currently associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Sprague 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 November 08, 2024.

The client alleges that representative failed to disclose all material facts that could occur to the investment.

Broker Kurt Stahl in Berthel, Fisher & Company Financial Services, Inc. Firm Has Customer Complaint

February 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kurt Stahl (Stahl), previously associated with Berthel, Fisher & Company Financial Services, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Stahl 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 $1,750,000.00 on November 20, 2024.

Breach of fiduciary duty, negligence, negligent misrepresentation, intentional misrepresentations/omissions, breach of contract, violation of florida securities and investor protection act.

There are Recent Customer Complaints with Broker Roberto Dejesuspou in Firm UBS Financial Services Inc.

February 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Roberto Dejesuspou (Dejesuspou), currently associated with UBS Financial Services Inc., has at least one disclosable event. These events include one customer complaint, alleging that Dejesuspou 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.

Time frame: unspecified\, allegations: claimant alleges her investments in a puerto rico closed-end fund were unsuitable, over-concentrated, and misrepresented as safe investments.

Broker Jeffrey Bangerter in Concorde Investment Services, LLC Firm Has Customer Complaint

February 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Bangerter (Bangerter), currently associated with Concorde Investment Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Bangerter 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 $85,000.00 on December 20, 2024.

Client is alleging suitability and breach of fiduciary duty relating to investments made in 2024.

Broker Jeffrey Eglow in Newbridge Securities Corporation Firm Has Customer Complaint

February 3, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on November 12, 2024.

Breach of fiduciary duty, negligence, and breach of contact.

There are Recent Customer Complaints with Broker Richard Grassey in Firm UBS Financial Services Inc.

February 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Grassey (Grassey), currently associated with UBS Financial Services Inc., has at least one disclosable event. These events include one customer complaint, alleging that Grassey 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 $3,500,000.00 on December 03, 2024.

Time frame: january 2011 to 2023 claimant’s counsel alleges ubs failed to do adequate due diligence on a fund of funds, which counsel alleges was unsuitable for any investor, and as a result all relevant risks were not disclosed to investors.

There are Recent Customer Complaints with Broker Mark Just in Firm Triad Advisors LLC

February 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Just (Just), previously associated with Triad Advisors LLC, has at least 8 disclosable events. These events include 8 customer complaints, alleging that Just 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 $150,000.00 on December 04, 2024.

Claimant alleges recommendations of certain direct investments were not in keeping with his investment needs and objectives, and that full disclosures regarding the investments were not made.

Broker Maggie Huang in Equitable Advisors, LLC Firm Has Customer Complaint

February 2, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Maggie Huang (Huang), currently associated with Equitable Advisors, 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 $27,000.00 on November 08, 2024.

Customer alleges the RR misrepresented the Tax Penalties and reduced death benefit of an existing policy to recommend the sale of a new VUL policy.

There are Recent Customer Complaints with Broker Christopher Campbell in Firm Raymond James Financial Services, Inc.

February 2, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Campbell (Campbell), currently associated with Raymond James Financial Services, Inc., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Campbell 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 $282,537.50 on November 14, 2024.

Plaintiffs allege investing in a real estate investment based on FAs’ misrepresentations.