Janney Montgomery Scott LLC Tag Archives

There are Recent Customer Complaints with Broker Kimberly Brown in Firm Janney Montgomery Scott LLC

January 23, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kimberly Brown (Brown), currently associated with Janney Montgomery Scott LLC, has at least one disclosable event. These events include one customer complaint, alleging that Brown 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 $7,152,540.24 on September 22, 2021.

Claim alleges that accounts were permitted to be unsuitably invested by a senior client using a margin strategy, which was implemented at a prior firm and resulted in a margin call liquidation in March of 2020.

Broker Catherine Jeff in Janney Montgomery Scott LLC Firm Has Customer Complaint

January 23, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Catherine Jeff (Jeff), currently associated with Janney Montgomery Scott LLC, has at least one disclosable event. These events include one customer complaint, alleging that Jeff 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 $7,152,540.24 on September 22, 2021.

Claim alleges that accounts were permitted to be unsuitably invested by a senior client using a margin strategy, which was implemented at a prior firm and resulted in a margin call liquidation in March of 2020.

There are Recent Customer Complaints with Broker Scott Palmer in Firm Janney Montgomery Scott LLC

January 16, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on November 29, 2021.

Client made a verbal complaint that the Financial Advisor made unsuitable investments in the client’s accounts that resulted in substantial losses. Allegation Time Period August 2010 to May 2017.

There are Recent Customer Complaints with Broker John Hardiman in Firm Janney Montgomery Scott LLC

January 5, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Hardiman (Hardiman), currently associated with Janney Montgomery Scott LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hardiman 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 $5,000.00 on November 05, 2025.

Client alleges that Advisor misrepresented the characteristics of investments that he recommended for the client’s accounts between December 2024 and June 2025.

Broker Gary Begnaud in Janney Montgomery Scott LLC Firm Has Customer Complaint

December 24, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 24, 2022.

The customer alleges unauthorized trading on March 23, 2020.

There are Recent Customer Complaints with Broker Herbert Marache in Firm Janney Montgomery Scott LLC

November 7, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on August 29, 2022.

Client alleged that the Advisor sold securities in the client’s Trust accounts without authorization. Allegation Time Period: June 16, 2022.

There are Recent Customer Complaints with Broker John Coleman in Firm Janney Montgomery Scott LLC

November 5, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on October 05, 2022.

Client alleged that the Advisor invested the client’s funds in the stock market without the client’s authorization. Allegation Time Period: September 2021 to October 2022

Broker Raymond Sardina in Janney Montgomery Scott LLC Firm Has Customer Complaint

October 24, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Raymond Sardina (Sardina), currently associated with Janney Montgomery Scott LLC, has at least one disclosable event. These events include one customer complaint, alleging that Sardina 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 $1,500,000.00 on December 16, 2022.

Upon former FA’s termination of employment, the inheriting FA inappropriately invested him in speculative high-risk investments using margin, including investments in equity-linked securities focused on energy and biotech and concentrated positions.

Broker John Hardiman in Janney Montgomery Scott LLC Firm Has Customer Complaint

October 10, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Hardiman (Hardiman), currently associated with Janney Montgomery Scott LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hardiman 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 $660,000.00 on August 19, 2025.

Claimants allege that their accounts were unsuitably invested.

There are Recent Customer Complaints with Broker Robert Rose in Firm Janney Montgomery Scott LLC

September 19, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Rose (Rose), currently associated with Janney Montgomery Scott LLC, has at least one disclosable event. These events include one customer complaint, alleging that Rose 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 $78,000.00 on February 22, 2023.

Letter from customer’s attorney alleging that advisor failed to follow customer instructions pertaining to asset allocation and made unauthorized trades. Client was in a managed account.