Reg BI

There are Recent Customer Complaints with Broker Walter Howard in Firm Independent Financial Group, LLC

December 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Walter Howard (Howard), previously associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Howard 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 $300,000.00 on March 17, 2022.

Customers claim they were overconcentrated in illiquid investments.

Broker Anthony Lofaso in J.w. Cole Financial, INC. Firm Has Customer Complaint

December 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Anthony Lofaso (Lofaso), previously associated with J.w. Cole Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Lofaso 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 $1,000,000.00 on March 21, 2022.

Beneficiary of an insurance policy, that lapsed prior to death of the insured, claims the representative failed to properly advise the beneficiary of her rights and available remedies in getting the policy reinstated.

Broker Bela Gajary in Securian Financial Services, INC. Firm Has Customer Complaint

December 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bela Gajary (Gajary), previously associated with Securian Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Gajary 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 $5,000.00 on March 21, 2022.

Client alleges rep misrepresented policy at the time of sale in April 2016.

There are Recent Customer Complaints with Broker Carmine Anzalone in Firm Cetera Wealth Services, LLC

December 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Carmine Anzalone (Anzalone), currently associated with Cetera Wealth Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Anzalone 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 $5,000.00 on March 21, 2022.

Client alleges RR told her she could take a withdrawal from her VA without penalty or tax implications if she reinvested the funds in an IRA within 60 days.

Broker Lindsey Benson in UBS Financial Services INC. Firm Has Customer Complaint

December 1, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lindsey Benson (Benson), previously associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Benson 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 $13,000.00 on March 31, 2022.

Time Frame: November 20, 2021 – March 28, 2022\, What were the allegations against the individual? \, The client’s Attorney alleges the CSA failed to exercise the options as instructed.

Broker Jacob Baker in Thrivent Investment Management INC. Firm Has Customer Complaint

December 1, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on April 07, 2022.

Client alleged he had not agreed to the surrender charges on his new VA contract in May 2021.

There are Recent Customer Complaints with Broker Gregory Fockler in Firm Osaic Wealth, INC.

December 1, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a award / judgment customer complaint with a damage request of $5,000.00 on April 01, 2022.

Client alleges that the liquidation of an equity holding was unauthorized.

Broker Dana Timchenko in Newedge Securities, LLC Firm Has Customer Complaint

December 1, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dana Timchenko (Timchenko), currently associated with Newedge Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Timchenko 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 $500,000.00 on March 30, 2022.

Claimant alleges, inter alia, unsuitability with respect to stock options strategy – December 2021 to March 2022

There are Recent Customer Complaints with Broker Michael Karis in Firm Fsc Securities Corporation

December 1, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Karis (Karis), previously associated with Fsc Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Karis 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 $500,000.00 on April 04, 2022.

Claim alleges Mr. Karis misrepresented and made unsuitable recommendations to the claimant’s deceased mother for Atlas Growth Partners, LP.

There are Recent Customer Complaints with Broker Brent Glogau in Firm Edward Jones

December 1, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brent Glogau (Glogau), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Glogau 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 April 02, 2022.

The client alleges the financial advisor invested his account in the market without the client’s authorization.