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

FINRA BrokerCheck shows a pending customer complaint on January 23, 2025.

Time Frame: 2021 – 2024. Client’s family members allege unsuitable investments

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Vincent Camarda (Camarda), previously associated with IBN Financial Services, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Camarda 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 $99,000.00  on January 27, 2025.

Negligence; breach of fiduciary duty; breach of contract; unjust enrichment; and, aiding and abetting fraud. Alleged dates of activity are May 2021 to June 2022.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Amy Brandts (Brandts), currently associated with Cambridge Investment Research, Inc., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Brandts 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 $450,000.00  on January 30, 2025.

Client alleges loss was suffered due to actions of an outside, unknown third party, as a result of cyber security breach with the RR’s email account.

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

FINRA BrokerCheck shows a settled customer complaint on January 27, 2025.

Policyowners allege that the RR recommended they purchase two fixed life insurance policies in October 2021 and told them the returns on investments from their existing Variable Annuities would assist to pay for the premiums.

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

FINRA BrokerCheck shows a pending customer complaint on January 28, 2025.

Claimant alleges RR Swan made misrepresentations and failed to disclose fees in connection with a deferred-compensation plan and variable life insurance policies.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Haim Pekelis (Pekelis), previously associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Pekelis 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 $480,000.00  on January 27, 2025.

Time Frame: November 01, 2007 to June 25th, 2008\, What were the allegations against the individual? The trustee alleges the Financial Advisor failed to follow her instructions and placed the account in a risky investment.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Corrada (Corrada), previously associated with Center Street Securities, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Corrada 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 January 23, 2025.

The claimant alleges unsuitable investments.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alexandre Maltez (Maltez), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Maltez 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 February 04, 2025.

Breach of fiduciary duty, negligence, and reg bi

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alexander Creede (Creede), currently associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Creede 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 11, 2025.

Claimant alleges unsuitable recommendations into high-risk bonds.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Chris Toomey (Toomey), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Toomey 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 $51,821.01  on February 11, 2025.

Customer alleges failure to disclose fees regarding a mutual fund investment. Activity dates 12/5/24 to 2/3/25.

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