Securities Lawyers Blog

Broker Charles Weldon in Independent Financial Group, LLC Firm Has Customer Complaint

April 16, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Charles Weldon (Weldon), currently associated with Independent Financial Group, LLC, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Weldon recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on February 18, 2025.

Claimants allege losses in their accounts.

Broker Thomas Souza in Edward Jones Firm Has Customer Complaint

April 15, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Souza (Souza), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Souza 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 $1,167.07 on February 26, 2025.

Claimant alleges registered representative did not adequately disclose federal tax withholding consequences associated with the transition of an IRA to an advisory account.

Broker Robert Tiegs in Edward Jones Firm Has Customer Complaint

April 15, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Tiegs (Tiegs), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Tiegs 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 $10,000.00 on February 26, 2025.

The client alleges gains on exchanges were not offset by losses resulting in $10,000 additional taxes and impact to social security.

Broker Victoria Pazzalia in Madison Avenue Securities, LLC Firm Has Customer Complaint

April 15, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Victoria Pazzalia (Pazzalia), currently associated with Madison Avenue Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Pazzalia 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 $157,747.01 on February 21, 2025.

Unsuitable Investment in NP Skyloft.

There are Recent Customer Complaints with Broker Amanda Wiggins in Firm Wells Fargo Clearing Services, LLC

April 15, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on February 26, 2025.

Claimant alleges that from 2021 through 2022, the registered rep was part of a team that made unsuitable investments and unauthorized trading which resulted in losses.

There are Recent Customer Complaints with Broker Donna Bromfield Day in Firm Wells Fargo Clearing Services, LLC

April 15, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on February 26, 2025.

Claimant alleges that from 2021 through 2022, the registered rep was part of a team that made unsuitable investments and unauthorized trading which resulted in losses.

There are Recent Customer Complaints with Broker Stephen Marotto in Firm Morgan Stanley

April 15, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stephen Marotto (Marotto), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Marotto 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 $200,000.00 on February 26, 2025.

Customers allege misrepresentation and unsuitable investment recommendation. Activity dates August 2021-May 2024.

There are Recent Customer Complaints with Broker Chi I Huang in Firm Integral Financial LLC

April 15, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Chi I Huang (Huang), currently associated with Integral Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Huang 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 $350,000.00 on February 25, 2025.

Customer contacted Integral Financial LLC on 02/10/2025. Other RR pick up the phone and offer service, but [REDACTED] insist Ms. Huang to call him back. Customer tried to sell notes, but claims integral Financial didn’t return the phone call. Customer came to Integral Financial LLC office and knock the wrong door and assume we abandon our office.

Broker Salvatore Baio in UBS Financial Services INC. Firm Has Customer Complaint

April 15, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Salvatore Baio (Baio), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Baio 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 February 26, 2025.

Claimant alleges failure to supervise in regards to the unsuitability of certain investments in his account.

There are Recent Customer Complaints with Broker Lara Shogren in Firm Cuso Financial Services, L.p.

April 15, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lara Shogren (Shogren), currently associated with Cuso Financial Services, L.p., has at least 3 disclosable events. These events include 3 customer complaints, alleging that Shogren 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 $12,400.00 on February 26, 2025.

Client sent letter alleging PCA stated she would receive 3% on her Symetra annuity for the last two years of the contract.