Securities Lawyers Blog

There are Recent Customer Complaints with Broker Rebecca Kettner in Firm Cetera Investment Services LLC

June 28, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Rebecca Kettner (Kettner), previously associated with Cetera Investment Services LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Kettner 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 $15,000.00 on April 09, 2020.

Client complaint is rep failed to rebalance her portfolio as instructed.

Broker Yidan Zheng in Allied Millennial Partners, LLC Firm Has Customer Complaint

June 28, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Yidan Zheng (Zheng), previously associated with Allied Millennial Partners, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Zheng 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 $100,000.00 on April 12, 2020.

Alleges unauthorized trading between December 2019 to March 2020.

There are Recent Customer Complaints with Broker Wesley Jones in Firm Merrill Lynch, Pierce, Fenner & Smith Incorporated

June 28, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Wesley Jones (Jones), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Jones 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 $8,000.00 on April 07, 2020.

The customer alleges failure to follow instructions on February 4, 2020.

Broker Shane Hopkins in Foreside Fund Services, LLC Firm Has Customer Complaint

June 28, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Shane Hopkins (Hopkins), previously associated with Foreside Fund Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Hopkins 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 $200,000.00 on April 07, 2020.

Claimants assert claims of negligence, negligent supervision, breach of contract, breach of fiduciary duty and violation of FINRA Rules relating to purchase of a master limited partnership. Individual is not named as a party in the arbitration and time frame is approximately 2014 – early 2015.

Broker Christina Aldredge in M. S. Howells & CO. Firm Has Customer Complaint

June 28, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christina Aldredge (Aldredge), currently associated with M. S. Howells & CO., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Aldredge recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on April 08, 2020.

The complaint alleges the firm failed to act on an account transfer form and follow directives.

Broker Jose Castillo in LPL Financial LLC Firm Has Customer Complaint

June 28, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jose Castillo (Castillo), currently associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Castillo 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 $391,901.00 on April 09, 2020.

Client alleges suitability regarding mutual fund investment. Activity dates 03/2020-03/2020.

Broker Dean Kernus in Ameriprise Financial Services, INC. Firm Has Customer Complaint

June 28, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dean Kernus (Kernus), previously associated with Ameriprise Financial Services, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Kernus 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 $23,804.00 on April 13, 2020.

Client alleges that an investment (Catalyst/Warrington Strategic Program Fund) was not in the client’s best interest due to its risk and costs.

Broker Nicole Falciano in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

June 28, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nicole Falciano (Falciano), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Falciano recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on April 14, 2020.

The customer alleges failure to follow instructions from January 2020 until April 2020.

Broker Brent Miller in Nylife Securities LLC Firm Has Customer Complaint

June 28, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brent Miller (Miller), currently associated with Nylife Securities LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Miller 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 $5,724.70 on April 10, 2020.

The customer alleged that two withdrawals from her variable annuity were used to establish an unauthorized MainStay account in the amount of $40,000 on or about February 10, 2020 and the purchase a new variable annuity on or about February 20, 2020 in which she incurred an upfront surcharge of over $4,000. The customer requested a reimbursement of all fees involved in the transaction, which she alleged were not disclosed at the time of the transaction.

There are Recent Customer Complaints with Broker Rodney Boelter in Firm Osaic Wealth, INC.

June 28, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Rodney Boelter (Boelter), currently associated with Osaic Wealth, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Boelter 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 $11,000.00 on April 13, 2020.

The complainant alleges that in 2020, the rep didn’t make transactions within his account as instructed, which caused him to lose money.