Former Hauppage, New York financial advisor Joel Benanti (CRD# 4210681) was under investigation for undisclosed outside business activities and private...
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Ross Cammarata: UBS Financial Advisor Has Four Customer Complaints
Ross Cammarata, also known as Rosario Cammarata, of UBS Financial Services in Fort Lauderdale, has four customer complaints disclosed on his regulatory record, all of which resulted in settlements and payments totaling $277,000 to the customers. Three of the four complaints are from 2015 to present. On May 4, 2016, a customer alleged Cammarata… Read More »
Ramiro Colon: UBS Employee Has 25 Customer Complaints
Ramiro Luis Colon III of UBS Financial Services in Miami, Florida has 25 customer complaints on his Brokercheck report maintained by the Financial Industry Regulatory Authority. Of those 25 complaints, 24 were from 2014 to present. Six of the complaints settled, and the rest are still pending. One customer complaint, dated July 10, 2014,… Read More »
Sumaya Musa: UBS Financial Advisor Has Four Complaints
Sumaya Musa of UBS Financial Services in Miami, Florida, has four customer complaints on her regulatory report maintained by the Financial Industry Regulatory Authority (FINRA). All four complaints are from May 2014 to October 2015 and appear to relate to Puerto Rico closed-end bond funds and municipal bonds. The first complaint, dated May 22,… Read More »
Hector Mercado: UBS Financial Advisor Has Four Complaints
Hector Mercardo, of UBS Financial Services in Miami, Florida, has four customer complaints on his regulatory report maintained by the Financial Industry Regulatory Authority (FINRA). Of the four complaints, three are from April 2016 to May 2017 and appear to relate to Puerto Rico closed-end bond funds and municipal bonds. One claim, alleging “misrepresentations,… Read More »
Alberto Castaner: Morgan Stanley Financial Advisor Has Four Customer Complaints
Alberto Castaner, a financial advisor in Morgan Stanley’s Fort Lauderdale office, has four customer complaints against him. The complaints are disclosed on his regulatory report with the Financial Industry Regulatory Authority (FINRA). On September 19, 2017, a customer brought a FINRA arbitration, alleging $850,000 in damages relating to “investment recommendations to purchase and to… Read More »
Rafael Gonzalez-Stawinski: Morgan Stanley Financial Advisor Has Eight Customer Complaints
Rafael Gonzalez-Stawinski, a financial advisor in Morgan Stanley’s Coral Gables office, has eight customer complaints on his regulatory record. Of the eight, two are currently pending: one dated August 14, 2017, alleging “unsuitability, overconcentration, breach of fiduciary duties, negligence, negligent supervision, failure to supervise, fraud, breach of contract, and violations of securities laws and… Read More »
David Garcia Cirilo: Morgan Stanley Financial Advisor Has 11 Customer Complaints
David Garcia Cirilo, a Morgan Stanley financial advisor in the Miami, Florida office, has 11 customer complaints against him. The 11 complaints contain allegations of combined damages exceeding $14 million. Almost every complaint, except for a complaint dating back to 2009, appear to relate to Puerto Rico municipal bonds. Ten of the complaints are… Read More »
Luis Rafael Bonilla: Morgan Stanley Advisor Has Six Customer Complaints
Luis Rafael Bonilla, a financial advisor in Morgan Stanley’s Miami office, has six customer complaints reported on his regulatory report. The latest complaint against Luis Bonilla was received on March 28, 2018. The customer, who made a written complaint, alleged unsuitability with respect to purchases of corporate bonds. The complaint was ultimately denied by… Read More »
Marco Rodolfo Bigotti of Morgan Stanley Received Customer Complaint
According to Financial Industry Regulatory Authority (FINRA) records, on or around June 18, 2017, a customer of Marco Rudolf Bigotti made a customer complaint alleging damages of $139,454.00. According to the complaint, the “customer alleges to have a conservative portfolio and that financial advisor recommend financial instruments that decrease his family capital by more than… Read More »
Douglas Keller Suspended By Financial Regulator Following Termination From AXA Advisors
According to a Financial Industry Regulatory Authority (FINRA) Letter of Acceptance, Waver and Consent dated January 2, 2017, financial advisor Douglas Keller has been suspended by FINRA for three months and fined $5,000 for selling 14 life insurance policies without disclosing the sales to AXA Advisors. According to FINRA, Keller violated FINRA Rules 3270… Read More »
