Reg BI

There are Recent Customer Complaints with Broker Gary Schweifel in Firm Morgan Stanley

April 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gary Schweifel (Schweifel), previously associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Schweifel 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 March 10, 2025.

Claimant alleges, inter alia, that the investments strategy executed in the client’s account was unsuitable – June 2021 – Oct 2023

Broker Helen Rothlein in Morgan Stanley Firm Has Customer Complaint

April 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Helen Rothlein (Rothlein), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Rothlein 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 $429,000.00 on March 07, 2025.

Attorney alleges, inter alia, that covered option trading recommended for clients was unsuitable 2019-2023

There are Recent Customer Complaints with Broker David Lam in Firm Ameriprise Financial Services, LLC

April 11, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on March 25, 2025.

Client alleges that his instructions to sell $200000 worth of his shares of tesla were not followed January 2025.

Broker John Palma in Spartan Capital Securities, LLC Firm Has Customer Complaint

April 11, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Palma (Palma), previously associated with Spartan Capital Securities, LLC, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Palma recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on March 25, 2025.

Without admitting or denying the findings, Palma consented to the sanction and to the entry of findings that he refused to produce information and documents requested by FINRA. The findings stated that this matter originated from a FINRA cycle examination of Palma’s former member firm.

Broker Joe Gentry in Ameriprise Financial Services, LLC Firm Has Customer Complaint

April 11, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joe Gentry (Gentry), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Gentry 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 $17,896.67 on March 24, 2025.

The client alleged the advisor misrepresented the provisions of a November 2023 variable life insurance replacement.

Broker Claudia Leite in Morgan Stanley Firm Has Customer Complaint

April 11, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Claudia Leite (Leite), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Leite 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 March 26, 2025.

Client alleges that recommendation to purchase foreign corporate bond in 2019 for a company that is now in bankrputcy did not meet her stated investment objectives

Broker Mimi Park in U.s. Bancorp Investments, Inc. Firm Has Customer Complaint

April 11, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mimi Park (Park), currently associated with U.s. Bancorp Investments, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Park 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 $95,000.00 on March 19, 2025.

Customers allege they were injured by representative’s mismanagement of their invested funds.

There are Recent Customer Complaints with Broker Richard Stone in Firm Stifel, Nicolaus & Company, Incorporated

April 11, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Stone (Stone), currently associated with Stifel, Nicolaus & Company, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Stone 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 $500,000.00 on March 24, 2025.

Claimants allege breach of fiduciary duty, negligence, fraud, breach of contract, violation of sections 10(b) and 20(a) of the Securities Exchange Act and Rule 10b-5, and violation of the Montana Securities Act.

There are Recent Customer Complaints with Broker Ximena Goni in Firm Oppenheimer & Co. Inc.

April 11, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ximena Goni (Goni), currently associated with Oppenheimer & Co. Inc., has at least one disclosable event. These events include one customer complaint, alleging that Goni 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 March 14, 2025.

Claimant alleges she suffered losses because of an ill-timed liquidation of an investment and alleges claims for breach of fiduciary duty, fraud and negligence. From 11/2022 – 12/2022

Broker Ted Boutis in Ameriprise Financial Services, LLC Firm Has Customer Complaint

April 11, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ted Boutis (Boutis), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Boutis 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 $1,000,000.00 on March 20, 2025.

The client alleged that beginning in 1999 the advisor misrepresented variable annuities and recommended an unsuitable life insurance policy. Client alleged further poor portfolio performance.