Securities Lawyers Blog

Broker Richard Panno in Buckman & Reid, INC, Firm Has Customer Complaint

April 19, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Panno (Panno), currently associated with Buckman & Reid, INC., has at least one disclosable event. These events include one customer complaint, alleging that Panno 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 $2,250,000.00 on August 24, 2024.

Failure to supervise.

There are Recent Customer Complaints with Broker Thomas Williams in Firm Charles Schwab & Co., INC.

April 18, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Williams (Williams), currently associated with Charles Schwab & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Williams 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 $235,000.00 on January 28, 2025.

The client alleges in December 2024 that the representative provided false and misleading information concerning an option position. The client relied upon this information to trade in an effort to minimize losses that the client erroneously believed existed.

There are Recent Customer Complaints with Broker Jeremiah Taylor in Firm Charles Schwab & Co., INC.

April 18, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeremiah Taylor (Taylor), currently associated with Charles Schwab & Co., INC., 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 $250,000.00 on January 30, 2025.

Starting in 2022, the client alleges he received incorrect information regarding Roth 401k funds for rollover into a Roth IRA, allegedly causing unplanned tax liabilities, changes in future income planning due to additional taxes owed, and lost tax savings.

Broker Mark Graham in Brokers International Financial Services, LLC. Firm Has Customer Complaint

April 18, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on February 03, 2025.

Customer of indirect affiliated insurance company (not customer of broker-dealer) claims that in the 2nd half of 2018 and into 2019, RR recommended and sold her an unsuitable fixed annuity to invest proceeds received after her mother passed away.

Broker Sidney Williams in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

April 18, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on January 24, 2025.

Client alleges failure to follow instructions in April 2024

There are Recent Customer Complaints with Broker Yi Guo in Firm Univest Securities, LLC

April 18, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Yi Guo (Guo), currently associated with Univest Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Guo 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 $10,000,000.00 on December 24, 2024.

On March 17 2021 two entity clients entered into a stock purchase agreement directly with issuer BAOS. In statement of claim the clients state that they relied on Yi Guo recommendations to enter into the purchase.

Broker George Purdy in Cetera Advisor Networks LLC Firm Has Customer Complaint

April 18, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on January 07, 2025.

Client is claiming that wrong type of CD was purchased.

There are Recent Customer Complaints with Broker Frank Walter in Firm UBS Financial Services INC.

April 18, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on January 24, 2025.

Time frame: January 2021 to January 2025\, Allegations: Claimant alleges UBS made unsuitable recommendations and misrepresentations and did not act in his best interests in connection with claimant’s exercise of options to purchase, resulting in long positions in his employing company’s stock.

There are Recent Customer Complaints with Broker Angelo Esposito in Firm UBS Financial Services INC.

April 18, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on December 13, 2024.

Time Frame: April 12th, 2024 to April 30th 2024\, What were the allegations against the individual? The client alleges investment was sold against her instructions and authorization when erroneously sold after being moved in error into a new managed account arrangement.

There are Recent Customer Complaints with Broker Carrington Coulter in Firm Raymond James & Associates, INC.

April 18, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on February 01, 2025.

The client alleged they were sold out of an investment to purchase an annuity and that the monthly income was misrepresented to them. Allegation Activity Dates: 1/13/2025 – 2/01/2025.