Reg BI

There are Recent Customer Complaints with Broker Linda Liu in Firm Wells Fargo Clearing Services, LLC

January 16, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Linda Liu (Liu), currently associated with Wells Fargo Clearing Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Liu 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 December 03, 2021.

Claimant alleges unsuitable investment recommendations that resulted in losses.

Broker Travis Eiland in Hd Vest Investment Services Firm Has Customer Complaint

January 16, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Travis Eiland (Eiland), previously associated with Hd Vest Investment Services, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Eiland recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on November 30, 2021.

Respondent Eiland failed to respond to FINRA requests for information.

Broker Kevin Rainwater in Arkadios Capital Firm Has Customer Complaint

January 16, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Rainwater (Rainwater), previously associated with Arkadios Capital, has at least 4 disclosable events. These events include 4 customer complaints, alleging that Rainwater 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 November 23, 2021.

Client since 2015 claims unsuitable products/REITS/alternatives

There are Recent Customer Complaints with Broker Ted Ngo in Firm Nylife Securities LLC

January 16, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ted Ngo (Ngo), currently associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Ngo 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 $15,853.74 on December 02, 2021.

Customer alleges that in March 2018, he was misled regarding the surrender schedule and charges related to a Variable Annuity.

Broker Eric Jenson in LPL Financial LLC Firm Has Customer Complaint

January 16, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eric Jenson (Jenson), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Jenson 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 $9,601.44 on November 30, 2021.

Client alleges that rep misrepresented the variable annuity product at the time of sale.

There are Recent Customer Complaints with Broker Charles Bonilla in Firm Pruco Securities, LLC.

January 16, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Charles Bonilla (Bonilla), previously associated with Pruco Securities, LLC., has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Bonilla recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on November 23, 2021.

Unsuitability, misrepresentation/omissions

There are Recent Customer Complaints with Broker Sean Kelly in Firm Center Street Securities, INC.

January 16, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sean Kelly (Kelly), previously associated with Center Street Securities, INC., has at least 5 disclosable events. These events include 5 customer complaints, alleging that Kelly 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 $160,000.00 on November 24, 2021.

Unsuitable, misrepresentations, breach of fiduciary duty , failure to supervise

There are Recent Customer Complaints with Broker Susan Cruz in Firm Cetera Wealth Services, LLC

January 16, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Susan Cruz (Cruz), currently associated with Cetera Wealth Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Cruz 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 November 29, 2021.

Claimant alleges their registered representative recommended unsuitable and illiquid alternative investments.

There are Recent Customer Complaints with Broker James Hiles in Firm Purshe Kaplan Sterling Investments

January 16, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Hiles (Hiles), previously associated with Purshe Kaplan Sterling Investments, has at least one disclosable event. These events include one customer complaint, alleging that Hiles 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 $150,000.00 on December 02, 2021.

Client who granted written discretion asserted advisor sold shares of former employers highly volatile stock at an inopportune time. \, Advisor denies any wrongdoing and believes he acted at all times in the clients best interests and in accordance with the operative advisory agreement.

Broker Dale Norton in Independent Financial Group, LLC Firm Has Customer Complaint

January 16, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dale Norton (Norton), previously associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Norton 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 $50,000.00 on December 01, 2021.

Allege investment was not suitable and was not in line with clients’ investment objectives.