Securities Lawyers Blog

There are Recent Customer Complaints with Broker Brian Maners in Firm Osaic Institutions, INC.

June 5, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Maners (Maners), currently associated with Osaic Institutions, INC., has at least one disclosable event. These events include one customer complaint, alleging that Maners 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 $12,000.00 on February 05, 2024.

Client alleges a rep error on paperwork caused a delay in transferring assets which subjected his accounts to market losses.

There are Recent Customer Complaints with Broker Ricardo Uliambre in Firm UBS Financial Services INC.

June 5, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ricardo Uliambre (Uliambre), previously associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Uliambre 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 $25,000.00 on February 05, 2024.

Time Frame: March 4th, 2019 to January 23rd, 2020\, \, What were the allegations against the individual? The client alleges that she loaned her Financial Advisor $25,000.00 four years ago and she has not recovered her money.

Broker Daniel Fusco in LPL Financial LLC Firm Has Customer Complaint

June 5, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Fusco (Fusco), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Fusco 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 $40,000.00 on February 02, 2024.

Executrix of estate alleges, inter alia, failure to supervise with respect to the margin balance maintained in the deceased client’s account after he passed away and the estate was being settled 2016-2023 .

There are Recent Customer Complaints with Broker Sean Muhlstein in Firm Voya Financial Advisors, INC.

June 5, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on February 06, 2024.

Complainant alleges that Representative advised Complainant to include misleading and/or false information on an insurance application regarding Complainant’s employment status and income sources.

There are Recent Customer Complaints with Broker Phillip Pickett in Firm Northwestern Mutual Investment Services, LLC

June 5, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on February 05, 2024.

Customer alleges that the investment selections in a managed investment advisory account that was recommended in or around October 2021, are unsuitable. The customer is unhappy with the performance of the account, the proceeds of which, were intended to fund a life insurance plan.

Broker Stephen Mihalek in Morgan Stanley Firm Has Customer Complaint

June 5, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on January 31, 2024.

Customer alleges unauthorized trading regarding managed account investments. Activity dates 11.30.23 – 12.14.23.

Broker Kenneth Ibbetson in Wells Fargo Clearing Services, LLC Firm Has Customer Complaint

June 5, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on February 03, 2024.

Customer complained that commissions should not have been charged to liquidate securities that had been purchased in advisory/fiduciary account. (5/18/2023-8/14/2023)

There are Recent Customer Complaints with Broker Damon Mapes in Firm LPL Financial LLC

June 5, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Damon Mapes (Mapes), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mapes 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 $250,000.00 on February 05, 2024.

Customer alleges representative made unsuitable investment recommendations.

Broker Jeremy Meger in Nylife Securities LLC Firm Has Customer Complaint

June 5, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on January 31, 2024.

Customer alleges the three (3) separate Variable Annuity policies she purchased beginning in January 2019 – March 2021, were not suitable recommendations and requests a waiver of surrender charges.

Broker Brandon Morrow in Emerson Equity LLC Firm Has Customer Complaint

June 5, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brandon Morrow (Morrow), currently associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Morrow 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 $900,000.00 on February 05, 2024.

The client alleges misrepresentation and omission of investment information.