Securities Lawyers Blog

Morgan Stanley Broker Juan Dibildox Has Customer Complaint

January 30, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on November 26, 2024.

Claimant alleged, inter alia, misrepresentation with respect to the performance and use of his account assets – Dec 2020 to Nov 2024

Ameriprise Financial Services, LLC Broker John Coble Has Customer Complaint

January 30, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Coble (Coble), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Coble 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 December 16, 2024.

The client alleged the advisor informed him that both he and his wife would receive lifetime income from his TransAmerica Life Insurance Company annuity in March 2008.

Wells Fargo Clearing Services, LLC Broker Peter Waldron Has Customer Complaint

January 30, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on November 14, 2024.

Plaintiff alleges that beginning in April 2022, the financial advisor made unsuitable investment recommendations.

Financial West Group Broker Robert Kully Has Customer Complaint

January 30, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Kully (Kully), previously associated with Financial West Group, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Kully 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 16, 2024.

Customer alleges that an investment recommendation was unsuitable and misleading.

IBN Financial Services, Inc. Broker James Mcarthur Has Customer Complaint

January 30, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Mcarthur (Mcarthur), previously associated with IBN Financial Services, Inc., has at least 15 disclosable events. These events include 15 customer complaints, alleging that Mcarthur 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 $3,600,000.00 on November 15, 2024.

Claimants allege: breach of fiduciary duty; failure to supervise; negligence and gross negligence; and, misrepresentations and omissions. The alleged activity occurred from December 2019 to February 2023.

LPL Financial LLC Broker Terry Bailey Has Customer Complaint

January 30, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Terry Bailey (Bailey), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bailey 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 December 17, 2024.

Customer indicates that advisor forged customer signatures on annuity purchase paperwork.

Cetera Advisor Networks LLC Broker Thomas Ealy Has Customer Complaint

January 30, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Ealy (Ealy), currently associated with Cetera Advisor Networks LLC, has at least 4 disclosable events. These events include 4 customer complaints, alleging that Ealy 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 $25,000.00 on November 01, 2024.

Liquidity, investment purpose, and risk tolerance. Further, the investment was misrepresented to client.

LPL Enterprise, LLC Broker Cecilia Dicristofalo Has Customer Complaint

January 29, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Cecilia Dicristofalo (Dicristofalo), currently associated with Lpl Enterprise, llc, has at least one disclosable event. These events include one customer complaint, alleging that Dicristofalo 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 $5,061.56 on January 06, 2025.

Customer purchased a Flexguard variable annuity in May 2022. In October 2024, the customer expected to lock in a certain value but received a different locked in value.

Equitable Advisors, LLC Broker Steven Heck Has Customer Complaint

January 29, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven Heck (Heck), currently associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Heck 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 January 03, 2025.

Client alleges RR made an unsuitable recommendation, failed to disclose fees, and made misrepresentations in connection with a variable annuity purchased in 2020.

Ameriprise Financial Services, LLC Broker William Young Has Customer Complaint

January 29, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Young (Young), currently associated with Ameriprise Financial Services, llc, has at least 5 disclosable event. These events include 5 customer complaints, alleging that Young 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 $101,400.00 on January 02, 2025.

Clients claim Willian Young failed to conduct a reasonable due diligence on the GWG investment, the GWG investment was misrepresented to the clients, and the GWG investment was unsuitable for the clients in view of their financial situations and needs, investment objectives and risk tolerance for their account.