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Articles Tagged with suitability

Michael Burkoff (CRD#: 2751980), a registered representative with National Securities Corporation (CRD#: 7569), is currently involved in a pending customer dispute over unsuitable investments, according to his BrokerCheck record accessed on November 23, 2020. On December 2, 2019, a customer filed a complaint against Michael Burkoff, alleging that he recommended unsuitable investments and breached his […]

Jeff Michale (CRD#: 2998580), a registered representative with Ameriprise Financial Services, Inc. (CRD#: 6363) is currently involved in two customer disputes totaling $835,000, according to his BrokerCheck record accessed on January 22, 2020. On December 9, 2019, clients filed a customer complaint against Jeff Michale, alleging that he recommended unsuitable investments from 2015 to 2019. […]

Robert Gianchiglia (CRD#: 2117250), a registered representative with USA Financial Securities Corporation, is current involved in a $200,000 customer dispute, according to his BrokerCheck report accessed on January 7, 2020. Why is Robert Gianchiglia involved in this customer dispute? Clients, who filed the complaint on November 19, 2019, allege that Robert Gianchiglia misrepresented a private […]

Francis Aurino (CRD#: 1754375), a registered representative with Morgan Stanley (CRD#: 149777) in Beverly Hills, California, is currently embroiled in a $685,610 customer dispute in which a client alleges that he recommended unsuitable investments from 2000 to 2019. When a broker recommends investment products, they should make sure that they are suitable for their clients. […]

William Braun (CRD#: 1271500), a registered representative with National Securities Corporation (CRD#: 7569), is currently involved in five customer disputes over private placements and unsuitable investment recommendations, according to his BrokerCheck record accessed on January 8, 2020. On October 18, 2019, William Braun became involved in a $200,000 customer dispute. A customer alleges that he […]

A registered representative with Silver Oak Securities, Incorporated (CRD#: 46947) who does business as Magnate Wealth Management in Louisville, Kentucky, Neil Watkins (CRD#: 4456445) became involved in a customer dispute on August 13, 2019. A client alleges that he “recommended unsuitable investments,” according to his BrokerCheck report accessed on September 17, 2019. The investment products […]

Joseph Andreoli (CRD#: 1718688), a registered representative with Raymond James & Associates, Inc. in Hackensack, New Jersey, became involved in a customer dispute on August 26, 2019 in which a client alleges that he “made unsuitable investments,” according to his BrokerCheck record accessed on September 17, 2019. The dispute is pending. This is not the […]

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 […]

Kevin Wolf (CRD#: 1067376), a registered representative with Wells Fargo Clearing Services, LLC of Naples, Florida, became involved in a pending customer dispute on July 10, 2019 in which a client alleges that he “made an unsuitable purchase of a life insurance policy,” according to his BrokerCheck report accessed on August 22, 2019. The client […]

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