Securities Lawyers Blog

There are Recent Customer Complaints with Broker Nathan Kapp in Firm Pruco Securities, LLC.

April 18, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nathan Kapp (Kapp), previously associated with Pruco Securities, LLC., has at least one disclosable event. These events include one customer complaint, alleging that Kapp 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 David Strunc in Cetera Advisors LLC Firm Has Customer Complaint

April 18, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Strunc (Strunc), currently associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Strunc 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 January 17, 2025.

Claimants generally allege negligent, improper conduct, breach of contract, breach of fiduciary duty, negligence, negligent supervision, and violations of Regulation BI.

Broker Nicholas Biddle in Osaic Wealth, INC. Firm Has Customer Complaint

April 18, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nicholas Biddle (Biddle), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Biddle 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 February 04, 2025.

Registrant is alleged to have made unsuitable investment recommendations. Claimant alleges that losses resulted.

Broker Antonio Oliveira in UBS Financial Services INC. Firm Has Customer Complaint

April 18, 2025 | by Staff Attorney

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

Time Frame: May 1st, 2019 to January 31st, 2025\, What were the allegations against the individual? The client alleges that his Financial Advisors failed to follow his instructions by not investing funds received in the 529 plan. The client further alleges that his retirement money was not invested as per his instructions in years.

There are Recent Customer Complaints with Broker Jerry Newman in Firm Edward Jones

April 18, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jerry Newman (Newman), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Newman 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 $18,701.18 on December 16, 2024.

The client alleges the FA failed to follow his instructions to invest deposited funds on 7/9/2024.

Broker Terry Harris in Money Concepts Capital CORP Firm Has Customer Complaint

April 18, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Terry Harris (Harris), previously associated with Money Concepts Capital CORP, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Harris 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 $31,000.00 on December 18, 2024.

Client attained an attorney to pursue a settlement instead of filing an arbitration claim. The firm determined the investment was suitable; however, made the decision to settle due to the cost of defense.

Broker Jeffrey Steinberg in Avantax Investment Services, INC. Firm Has Customer Complaint

April 18, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on February 04, 2025.

Claimant alleges unsuitable investment recommendations which resulted in losses.

Broker Harry Buckman in Buckman, Buckman & Reid, INC. / Mayhill Agency, LLC Firm Has Customer Complaint

April 18, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Harry Buckman (Buckman), currently associated with Buckman, Buckman & Reid, INC. / Mayhill Agency, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Buckman 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 December 24, 2024.

Excessive Trading 2017 – 2024

Broker James Feliz in MML Investors 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 James Feliz (Feliz), currently associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Feliz 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.

The complainant alleges that in 2024, the rep was involved in a matter were a mutual fund was sold without the complainant’s authorization and the proceeds were used to purchase a different mutual fund.

Broker Scott Morrison in Stillpoint Capital, LLC Firm Has Customer Complaint

April 18, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Scott Morrison (Morrison), previously associated with Stillpoint Capital, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Morrison 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 $3,000,000.00 on January 09, 2025.

Customer alleges misuse of power of attorney to sell/manage client/operate fund assets, embezzling and misuse of customer assets, charging of unauthorized fees, breach of contract, and negligence.