Reg BI

There are Recent Customer Complaints with Broker Felipe Arrieta in Firm Vestech Securities, INC.

September 19, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Felipe Arrieta (Arrieta), currently associated with Vestech Securities, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Arrieta 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 $5,000.00 on February 22, 2023.

Misrepresentation, negligence, unsuitability, breach of fiduciary duty

Broker Michael Gray in PFS Investments INC. Firm Has Customer Complaint

September 19, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on February 22, 2023.

Customer alleges that i recommended unsuitable investments for their investment objective.

There are Recent Customer Complaints with Broker Chuling Hsiao in Firm Nylife Securities LLC

September 19, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Chuling Hsiao (Hsiao), currently associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hsiao 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 $56,496.27 on February 22, 2023.

The policyowner alleges that he unknowingly entered into two variable annuity contracts in December 2021 with an eight year surrender charge period with funds from his matured fixed annuity policy. The customer wants to cancel both of the variable annuity policies free of surrender fees.

Broker Douglas Scalard in Ameriprise Financial Services, LLC Firm Has Customer Complaint

September 19, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Douglas Scalard (Scalard), previously associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Scalard 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 February 23, 2023.

Claimants allege from 2015 to the present, respondent provided unsuitable investment recommendations and failed to provide full accounting for the Trusts.

There are Recent Customer Complaints with Broker Adam Anderson in Firm Securities America, INC.

September 19, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on February 22, 2023.

Opened accounts in March 2021 using Treasury notes & options. In January 2022, client expressed concerns about losses and long-term term treasures and concerns with advisory fees.

There are Recent Customer Complaints with Broker Robert Rose in Firm Janney Montgomery Scott LLC

September 19, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Rose (Rose), currently associated with Janney Montgomery Scott LLC, has at least one disclosable event. These events include one customer complaint, alleging that Rose 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 $78,000.00 on February 22, 2023.

Letter from customer’s attorney alleging that advisor failed to follow customer instructions pertaining to asset allocation and made unauthorized trades. Client was in a managed account.

There are Recent Customer Complaints with Broker Anna Marie Stotka in Firm Osaic Wealth, INC.

September 19, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Anna Marie Stotka (Stotka), currently associated with Osaic Wealth, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Stotka 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 February 23, 2023.

Claimant alleges the representative recommended an unsuitable Oil & Gas investment.

There are Recent Customer Complaints with Broker Richard Campbell in Firm Ameriprise Financial Services, LLC

September 19, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Campbell (Campbell), previously associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Campbell 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 February 23, 2023.

Claimants allege from 2015 to the present, respondent provided unsuitable investment recommendations and failed to provide full accounting for the trusts.

There are Recent Customer Complaints with Broker German Ramirezdearellano in Firm First Southern, LLC

September 19, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker German Ramirezdearellano (Ramirezdearellano), currently associated with First Southern, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Ramirezdearellano 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 February 22, 2023.

Client alleges misrepresentations and omissions, failing to perform the proper due diligence, breach of fiduciary duty, breach of contract, failure to act in the “best interest” of the Claimant, failure to supervise, fraud, constructive fraud, negligence and gross negligence, violation of the FINRA rules, violation of the federal securities laws, and violation of the Puerto Rico Uniform Securities Act and Civil Code.

Broker James Tammaro in Kenmar Securities, LLC Firm Has Customer Complaint

September 19, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Tammaro (Tammaro), currently associated with Kenmar Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Tammaro 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 $940,000.00 on February 22, 2023.

In 2014, [REDACTED] as an advised investor lent approx. $ 940,000 to Pebbles, an investment banking client of TGP Securities at the time. In 2020, [REDACTED] claimed fraud and filed lawsuit in New Jersey Superior Court, docket UNN-L-003214-20 dated October 1, 2020. This case was stayed by the New Jersey Superior Court Union County on October 25, 2022 and directed it to be arbitrated under the FINRA Rules. On February 22, 2023, [REDACTED] filed for arbitration with FINRA, case 23-00455.