Articles Posted in Reg BI

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eddy Gutierrez (Gutierrez), currently associated with Wells Fargo Advisors Financial Network, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Gutierrez 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 $47,000.00  on March 12, 2020.

The customer alleges misrepresentations from June 2014 until September 2018.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Loessberg (Loessberg), previously associated with Raymond James Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Loessberg 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 $28,000.00  on March 13, 2020.

The client alleges the advisor did not follow instructions to move investments to a fixed interest account. Alleged Activity Dates: 2/26/2020 – 3/13/2020.

Continue Reading

| by

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

FINRA BrokerCheck shows a settled customer complaint on March 12, 2020.

Trustee verbally complained that the financial advisor did not sell positions as instructed. (3/5/2020-3/12/2020)

Continue Reading

| by

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

FINRA BrokerCheck shows a settled customer complaint on March 16, 2020.

Client’s allege unsuitability, over-concentration, breach of fiduciary duty, negligence, negligent supervision, failure to supervise, fraud, breach of contract, and violations of securities laws and rules (Puerto Rico bonds). Includes request for rescission, punitive damages, interest, costs and fees.

Continue Reading

| by

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

FINRA BrokerCheck shows a settled customer complaint on March 12, 2020.

The client alleged the advisor failed to apply 10% trailing stop orders on all eligible positions in his accounts as instructed on January 9, 2020.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Aly Mady (Mady), previously associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Mady 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 $6,000.00  on March 17, 2020.

Client alleges financial advisor misrepresented the 529 plan investment options.

Continue Reading

| by

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

FINRA BrokerCheck shows a settled customer complaint on March 17, 2020.

Client alleges that FA misrepresented the nature of the mutual fund that was purchased.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Spencer Gliddon (Gliddon), previously associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Gliddon 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 $17,378.00  on March 16, 2020.

Client alleges suitability regarding mutual fund investment. Activity dates  03/06/2020-03/06/2020.

Continue Reading

| by

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

FINRA BrokerCheck shows a settled customer complaint on March 18, 2020.

Client alleges that the transfer of funds from her IRA account to pay the premiums for her life insurance policy has created a potential tax liability.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Timothy Augustin (Augustin), previously associated with Western International Securities, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Augustin 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 $180,000.00  on March 17, 2020.

Unsuitable Recommendations

Continue Reading
Contact Information
295 Madison Ave #705
New York, NY 10017
Toll Free: 800-810-4262
3706 N Greenview Ave
#100
Chicago, IL 60613
28 Valley Rd
#1
Montclair, NJ 07042
ATTORNEY ADVERTISING

Please do not include any confidential or sensitive information in a contact form, text message, or voicemail. The contact form sends information by non-encrypted email, which is not secure. Submitting a contact form, sending a text message, making a phone call, or leaving a voicemail does not create an attorney-client relationship.

Copyright © 2026, Gana Weinstein LLP
JUSTIA Law Firm Blog Design