Reg BI

Broker Michael Thomas in Thrivent Investment Management Inc. Firm Has Customer Complaint

March 29, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint on January 30, 2025.

Respondent Thomas failed to respond to FINRA requests for information.

There are Recent Customer Complaints with Broker Jeu Delgado lopez in Firm PFS Investments Inc.

March 29, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeu Delgado lopez (Delgado lopez), previously associated with PFS Investments Inc., has at least one disclosable event. These events include one tax lien, alleging that Delgado lopez recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

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

Respondent Delgado Lopez failed to respond to FINRA requests for information.

There are Recent Customer Complaints with Broker William Duffy in Firm Innovation Partners LLC

March 29, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Duffy (Duffy), previously associated with Innovation Partners LLC, has at least 5 disclosable events. These events include 5 customer complaints, alleging that Duffy 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.

Violations of Federal Securities Laws, fraud in offer or sale of securities, fraud in connection with the purchase of sale of securities, Violations of California Securities Laws, unsuitable recommendations, misrepresentations and omissions of material fact, California Unfair, Unlawful and Fraudulent Business Practices, Violation of California’s Financial Elder Abuse Law, Violation of Washington’s Securities Act, Violation of Washington’s Consumer Protection Act, Violation of the Colorado Securities Act, Violation of Colorado Consumer Protection Act, Breach of Contract, Common Law Fraud, Breach of Fiduciary Duty, Negligence and Gross Negligence, 12/2019

Broker Anthony Bottini in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

March 29, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Anthony Bottini (Bottini), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least 2 disclosable events. These events include one customer complaint, one tax lien, alleging that Bottini recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on January 30, 2025.

Respondent Bottini failed to respond to FINRA requests for information.

There are Recent Customer Complaints with Broker Jerome Harris in Firm Farmers Financial Solutions, LLC

March 29, 2025 | by Staff Attorney

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

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

Respondent Harris failed to respond to FINRA requests for information.

There are Recent Customer Complaints with Broker Amanda Kriss in Firm J.P. Morgan Securities LLC

March 29, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint on January 30, 2025.

Respondent Kriss failed to respond to FINRA requests for information.

There are Recent Customer Complaints with Broker Marcel Pahmer in Firm Centaurus Financial, Inc.

March 29, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Marcel Pahmer (Pahmer), previously associated with Centaurus Financial, Inc., has at least 3 disclosable events. These events include 3 customer complaints, alleging that Pahmer 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 $471,000.00 on January 29, 2025.

The customer alleges that in 2021, the Registered Representative recommended and misrepresented unsuitable, high-risk, and illiquid investments.

Broker Ronald Thompson in Nylife Securities LLC Firm Has Customer Complaint

March 29, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ronald Thompson (Thompson), previously associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Thompson 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, 2025.

The Customers alleged that they were misled when they purchased variable universal life insurance policies in October 2015 and request the surrender of the policies without charges.

There are Recent Customer Complaints with Broker Kevin Kenney in Firm LPL Financial LLC

March 29, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Kenney (Kenney), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kenney 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 $300,000.00 on January 27, 2025.

Plaintiffs assert FA improperly recommended that they invest their IRAs in a debt-financed parcel of commercial real property.

There are Recent Customer Complaints with Broker Nicholas Jembelis in Firm David Lerner Associates, Inc.

March 29, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nicholas Jembelis (Jembelis), currently associated with David Lerner Associates, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Jembelis 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 $150,000.00 on January 29, 2025.

Unsuitability, misrepresentation/omission and breach of fiduciary duty. \, Allegation period: August 4, 2014 the date of the first purchase at issue to January 29, 2025, the date the Statement of Claim was received.