Reg BI

There are Recent Customer Complaints with Broker Kevin Hill in Firm Ameriprise Financial Services, LLC

October 4, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Hill (Hill), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hill 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 November 07, 2022.

Client alleges she did not authorize her financial advisor to purchase long-term CD, or its subsequent sale which resulted in market loss.

There are Recent Customer Complaints with Broker Matthew Lamb in Firm Wells Fargo Advisors Financial Network, LLC

October 4, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Lamb (Lamb), currently associated with Wells Fargo Advisors Financial Network, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lamb 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 $519,000.00 on November 07, 2022.

Customers allege that representative recommended investments in a certain note and certain ETFs that were unsuitable for the customers’ investment profile and risk tolerance. Activity period: March 2021 to November 2022.

Broker Marvin June in Edward Jones Firm Has Customer Complaint

October 4, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Marvin June (June), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that June 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 $89,250.04 on November 01, 2022.

Plaintiff alleges he is a victim of identity theft, such that in June and July 2022 unauthorized individuals were allowed to access Plaintiff’s account and direct Defendants to sell funds and transfer monies from Plaintiff’s accounts without authorization from the Plaintiff.

There are Recent Customer Complaints with Broker Gary Gallagher in Firm Mutual Securities, INC.

October 4, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint with a damage request of $74,409.00 on November 03, 2022.

Client alleges that RR misrepresented the investment risk and potential loss of principal related to the investment of her pension funds in FS Energy and Power Fund in September 2013.

Broker Adam Herzing in Nylife Securities LLC Firm Has Customer Complaint

October 4, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on November 02, 2022.

Customer alleges that she was promised the funds from the sale of her stock would be secure and not at risk. Customer has requested the reversal of a variable annuity purchased on 12/30/2021.

Broker Jason Lockridge in Mutual Securities, INC. Firm Has Customer Complaint

October 4, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint with a damage request of $250,000.00 on October 31, 2022.

Plaintiff alleges the following: fraud, breach of fiduciary duty, unauthorized practice of law, and intentional interference. Summary of events leading to allegations: In the course of providing advisory services to the client in 2021, the advisor and client discussed the client’s wishes regarding his estate, including transfer-on-death/payable-on-death instructions, beneficiary designations, and the creation of a trust. In the summer of 2021, the client provided updated beneficiary instructions and the advisor forwarded relevant information to an attorney for creation of estate documents to achieve the stated desires of the client. The client died in November 2021.

Broker Anthony Cipolla in Nylife Securities LLC Firm Has Customer Complaint

October 4, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint with a damage request of $270,618.00 on November 01, 2022.

Client alleges that investment account was not managed in the way it was agreed upon.

Broker Michael Dellinger in UBS Financial Services INC. Firm Has Customer Complaint

October 4, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Dellinger (Dellinger), currently associated with UBS Financial Services INC., has at least 3 disclosable events. These events include 3 customer complaints, alleging that Dellinger 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 $1,580,000.00 on November 03, 2022.

Time frame: In or about late 2016\, \, Allegations: Claimants’ counsel alleges unsuitability and misrepresentation with respect to recommendations to invest in and hold an options overlay strategy.

There are Recent Customer Complaints with Broker Anthony Christensen in Firm Private Client Services, LLC

October 4, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on November 02, 2022.

Claimants allege that from August 2012 through the end of 2021, the financial advisor misrepresented a non-traded fund.

Broker Joseph Shultz in Wells Fargo Clearing Services, LLC Firm Has Customer Complaint

October 4, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on November 04, 2022.

Customer verbally complained that the financial advisor misled her as to the Maturity Date of Brokered CDs, resulting in losses when the CDs were sold prior to maturity. (10/7/2020-11/4/2022)