Articles Posted in Fiduciary Duties

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bartholomew Mackler (Mackler), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mackler 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 $75,000.00 on February 27, 2024.

Complaint is alleging improper investment advice caused by a failure to conduct due diligence and an unsuitable recommendation for an investment made in 2016.

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

FINRA BrokerCheck shows a pending customer complaint on January 24, 2024.

Customer alleges that one investment purchased in 2013 was not suitable for the customer’s investment objectives and risk tolerance.

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

FINRA BrokerCheck shows a final customer complaint on April 04, 2023.

Rendered investment advice, from a location within Florida, without being registered by the Office.

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

FINRA BrokerCheck shows a pending customer complaint on November 18, 2024.

The customer unsuitable recommendation and poor advice for universal life policy

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Kirwan (Kirwan), previously associated with American Portfolios Financial Services, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Kirwan 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 $350,000.00 on July 10, 2023.

Claimant alleges misrepresentation of investment, unsuitable investment, unauthorized trading of subaccounts, breach of fiduciary duty.

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

FINRA BrokerCheck shows a settled customer complaint on November 11, 2024.

The client alleged that the representative did not follow his instructions which caused him to lose thousands of dollars. Activity took place between October 31, 2024, and November 11, 2024.

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

FINRA BrokerCheck shows a pending customer complaint on November 04, 2024.

Customer alleges transfer-on-death brokerage account was misrepresented to her as comparable to a high-yield savings account and was not properly managed.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lee Mcneill (Mcneill), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Mcneill recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on December 06, 2024.

Customer alleges misrepresentation of an annuity contract in october 2024.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Drew Peacock (Peacock), previously associated with Ameriprise Financial Services, LLC, has at least 5 disclosable events. These events include 5 customer complaints, alleging that Peacock 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 $132,163.68 on November 12, 2024.

The clients verbally alleged incorrect information was provided by the representative on bond purchases completed in january and february of 2023.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeremy Smith (Smith), currently 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 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 $50,000.00 on November 26, 2024.

Unsuitable recommendation based upon the clients’ risk profile.

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