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Articles Tagged with customer dispute

Leon Almeida (CRD#: 5645472), a registered representative with MML Investors Services, LLC in Paramus, New Jersey, is currently involved in a customer dispute. According to Leon Almeida’s BrokerCheck record accessed on September 24, 2019, a client alleges that Leon Almeida sold him a variable annuity but misrepresented it. The client, who filed the complaint on […]

FINRA, the Financial Industry Regulatory Authority, has barred Paul Pitsironis (CRD#: 2804907), from the securities industry for allegedly stealing from a customer, according to his BrokerCheck report accessed on September 12, 2019. All three of the disclosures on Paul Pitsironis’s BrokerCheck record stem from the allegation that he stole $411,000 from a client’s account while […]

Rob Snow (CRD#: 3203253), a registered representative with Morgan Stanley in Houston, Texas, became involved in a customer dispute on July 19, 2019. A client’s attorney alleges that, among other things, Rob Snow recommended unsuitable investments from April 2017 to April 2019, according to his BrokerCheck record accessed on August 21, 2019. The securities product […]

On July 22, 2019, Robert Brinckerhoff (CRD#: 823695), a registered representative with Morgan Stanley in Burlington, Vermont, became involved in a pending a customer dispute. A client, who is requesting $60,000 in damages, alleges that “the purchase of a structured product in her account in 2017 was unsuitable,” according to his BrokerCheck record accessed on […]

Robert S. Smith (CRD#: 1412333), a registered representative with Concorde Investment Services, LLC of Lake Oswego, Oregon, does business as Peregrine Private Capital Corporation and specializes in alternative investments. He is currently involved in a $1.1 million dispute regarding private placements, according to his BrokerCheck report accessed on September 3, 2019. According to his broker […]

Bernie Adair (CRD#: 1535429), a registered representative with Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#: 7691) of Jupiter, Florida, became involved in a customer dispute filed on July 15, 2019 in which a client alleges that the broker misrepresented the terms of a variable annuity, per his BrokerCheck record accessed on August 27, 2019. […]

Jim King Mui (CRD#: 1007131), a registered representative with Purshe Kaplan Sterling Investments in Boca Raton, Florida, has been involved in a recent dispute involving unsuitability, according to his BrokerCheck record accessed on August 23, 2019. His firm, Purshe Kaplan Sterling, recently settled a customer complaint in which a client alleged that their advisor “made […]

Peter Huffman (CRD#: 5613027), a registered representative with Merrill Lynch, Pierce, Fenner & Smith Incorporated in La Jolla, California, is currently involved in a pending dispute in which a client is alleging he engaged in excessive trading to generate extra commissions (known as “churning”). The client is requesting $2,797,295 in damages, according to Peter Huffman’s […]

Nancy Glassman (CRD#: 1734992), currently a registered representative with Morgan Stanley in New York, New York, is involved in a pending dispute in which a client is alleging unsuitability regarding a wrap account, according to her BrokerCheck record accessed on August 13, 2019. The complaint was filed on May 21, 2019 and the client is […]

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