Securities Lawyers Blog

Broker Eric Singer in UBS Financial Services INC. Firm Has Customer Complaint

April 17, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on February 06, 2025.

Time Frame: December 1st. 2017 to September 12th, 2023\, What were the allegations against the individual – The client, through counsel, alleges the financial advisor failed to make sure the account was properly funded to meet the minimum funding standards set forth in the internal revenue code. The client further alleges that the financial advisor did not disclose that the RAM CBP was underfunded when he provided advice to transfer funds from the client’s 401K to the RAM CBP.

There are Recent Customer Complaints with Broker Rafael Williamson in Firm UBS Financial Services INC.

April 17, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on February 06, 2025.

Time Frame: December 1st, 2022 to July 31st, 2024\, What were the allegations against the individual – The client alleges they were placed in unsuitable investments based on their age and investment knowledge and the investments were misrepresented.

Broker Joseph Lauzon in LPL Financial LLC Firm Has Customer Complaint

April 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Lauzon (Lauzon), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lauzon 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 $538,250.00 on February 12, 2025.

Brother alleges advisor, who is his brother, fraudently transferred funds from their father’s IRA account.\, 11/17/24 – 12/12/25

There are Recent Customer Complaints with Broker Sharon Pensabene in Firm Nylife Securities LLC

April 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sharon Pensabene (Pensabene), previously associated with Nylife Securities LLC, has at least 5 disclosable events. These events include 5 customer complaints, alleging that Pensabene recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on February 10, 2025.

Customers allege that several forms on their life insurance policies related to dividend withdrawal, policy loans, and payment preferences contain signatures that are not theirs, therefore they have requested a review of these forms.

There are Recent Customer Complaints with Broker Patrick Buttarazzi in Firm Wells Fargo Clearing Services, LLC

April 17, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on February 13, 2025.

Client complains that Financial Advisor assured them their annuity contract would provide a guaranteed monthly income; however the contract was terminated. Client demands the reinstatement of the contract and re-implementation of monthly income payment. (1/1/2025-2/13/2025)

There are Recent Customer Complaints with Broker William Clary in Firm D.a. Davidson & CO.

April 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Clary (Clary), currently associated with D.a. Davidson & CO., has at least one disclosable event. These events include one customer complaint, alleging that Clary 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 $281,085.40 on February 12, 2025.

Clients allege that Financial Advisor violated duties through inaction to prevent potential financial exploitation by unknown third parties. 9/3/2024 – 2/10/2025.

There are Recent Customer Complaints with Broker Mark Brooks in Firm Northwestern Mutual Investment Services, LLC

April 17, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on February 06, 2025.

Client alleged that her asset allocation was not appropriate for someone of her age

There are Recent Customer Complaints with Broker Victoria Conigliaro in Firm UBS Financial Services INC.

April 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Victoria Conigliaro (Conigliaro), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Conigliaro 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 $140,301.00 on February 07, 2025.

Time Frame: October 2nd, 2023 to June 28th, 2024\, What were the allegations against the individual? The attorney for Trustee alleges that transactions were made in the client’s account that were not in the best interest of the client and outside the normal withdrawal patterns. Attorney further alleges that no review was conducted to prevent the suspicious and unusual withdrawals resulting in depletion of the client’s account resulting in elder abuse.

There are Recent Customer Complaints with Broker Steven Spiesberger in Firm RBC Capital Markets, LLC

April 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven Spiesberger (Spiesberger), currently associated with RBC Capital Markets, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Spiesberger 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 $24,711.17 on February 12, 2025.

Trustee alleges excessive commissions for liquidation of Trust account.

Broker David Smith in Ausdal Financial Partners, INC. Firm Has Customer Complaint

April 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Smith (Smith), currently associated with Ausdal Financial Partners, INC., has at least one disclosable event. These events include one customer complaint, alleging that Smith 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 $3,870,000.00 on February 13, 2025.

Breach of Fiduciary Duty, Negligence and Reg BI, Failure to supervise.