Securities Lawyers Blog

Broker Buddy Levy in Osaic Wealth, INC. Firm Has Customer Complaint

January 30, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Buddy Levy (Levy), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Levy 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 $8,154.00 on July 28, 2021.

Client alleges advisor took direction from her husband on March 12th, 2020 and March 19th, 2020 for mutual fund exchanges in her IRA account without written authorization.

Broker Pasquale Vitucci in United Planners’ Financial Services of America A Limited Partner Firm Has Customer Complaint

January 30, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Pasquale Vitucci (Vitucci), previously associated with United Planners’ Financial Services of America A Limited Partner, has at least one disclosable event. These events include one customer complaint, alleging that Vitucci 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 $300,000.00 on July 26, 2021.

Breach of fiduciary duty, negligent misrepresentation, negligence, negligent supervision, breach of contract, fraud and financial elder abuse.

There are Recent Customer Complaints with Broker Mark Markland in Firm Cambridge Investment Research, INC.

January 30, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Markland (Markland), currently associated with Cambridge Investment Research, INC., has at least one disclosable event. These events include one customer complaint, alleging that Markland 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 $200,000.00 on July 23, 2021.

Claimants allege unsuitable alternative investment recommendations, failure to supervise, and inadequate due diligence.

There are Recent Customer Complaints with Broker Young Kim in Firm Centaurus Financial, INC.

January 30, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Young Kim (Kim), previously associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Kim 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 $400,000.00 on July 23, 2021.

DURING THE PERIOD 2015 TO PRESENT, CUSTOMERS ALLEGE THAT THE REGISTERED REPRESENTATIVE RECOMMENDED UNSUITABLE AND ILLIQUID INVESTMENTS.

There are Recent Customer Complaints with Broker Katrina Hayes in Firm Prospera Financial Services, INC.

January 30, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Katrina Hayes (Hayes), currently associated with Prospera Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Hayes 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 $100,000.00 on July 29, 2021.

Customer alleges breach of fiduciary duty, contract, and negligence, as well as overall negligence and misrepresentation in the liquidation transactions of her CSX and FB positions since coming to Prospera in Dec 2019 after she claims she explicitly told the advisors not to touch these positions. She is asking for $100k plus interest and legal fees.

Broker Angelita Fuentes in Voya Investments Distributor, LLC Firm Has Customer Complaint

January 29, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Angelita Fuentes (Fuentes), currently associated with Voya Investments Distributor, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Fuentes 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 $700,000.00 on July 30, 2021.

CLIENT ALLEGES NORTHSTAR INVESTMENT WAS UNSUITABLE

There are Recent Customer Complaints with Broker Andrew Olson in Firm Parkland Securities, LLC

January 29, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andrew Olson (Olson), previously associated with Parkland Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Olson 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 $89,000.00 on July 30, 2021.

Arbitration Statement of Claim alleged misrepresentation; omission of material facts; breach of fiduciary duty; negligence in connection with the investments purchased in 2014.

Broker Michael Bruggemann in Ameriprise Financial Services, LLC Firm Has Customer Complaint

January 29, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Bruggemann (Bruggemann), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bruggemann 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 $180,000.00 on August 05, 2021.

Claimants allege the representative recommended investments that were unsuitable.

There are Recent Customer Complaints with Broker Masood Azad in Firm First Allied Securities, INC.

January 29, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Masood Azad (Azad), previously associated with First Allied Securities, INC., has at least 5 disclosable events. These events include 5 customer complaints, alleging that Azad 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 $500,000.00 on August 05, 2021.

Claimants allege their registered representative recommended an unapproved outside securities transaction, misrepresentation, negligent supervision, and breach of contract.

Broker Vincent Villani in PHX Financial, INC. Firm Has Customer Complaint

January 29, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Vincent Villani (Villani), currently associated with PHX Financial, INC., has at least 3 disclosable events. These events include 3 customer complaints, alleging that Villani 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 $300,000.00 on July 30, 2021.

Suitability