Reg BI

Broker Jeffrey Broten in Newbridge Securities Corporation Firm Has Customer Complaint

March 26, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint on October 13, 2020.

Without admitting or denying the findings, Broten consented to the sanction and to the entry of findings that he refused to provide on-the-record testimony requested by FINRA in connection with its investigation into his potentially unsuitable and unauthorized trading while associated with a member firm.

There are Recent Customer Complaints with Broker Herbert Hafen in Firm Wells Fargo Clearing Services, LLC

March 26, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Herbert Hafen (Hafen), previously associated with Wells Fargo Clearing Services, LLC, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Hafen 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 $20,000.00 on October 13, 2020.

Customer seeking to be reimbursed for unsuitable investments that FA made in her account.

Broker Ellen Boortz in Edward Jones Firm Has Customer Complaint

March 25, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ellen Boortz (Boortz), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Boortz 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 $63,899.72 on October 20, 2020.

Plaintiff alleges Defendants unilaterally closed her investment account without authorization and withheld taxes causing an immediate tax consequence of $22,661.76. Plaintiff further alleges the transaction was made without explaining tax consequences or penalties. Plaintiff alleges when she requested that Defendants reinstate her account and refund the withheld taxes her request was refused.

There are Recent Customer Complaints with Broker Conor Sheehan in Firm Raymond James & Associates, INC.

March 25, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Conor Sheehan (Sheehan), previously associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Sheehan 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 $20,000.00 on October 20, 2020.

Client alleges advisor did not invest assets as directed.

Broker Gary Nethen in Nylife Securities LLC Firm Has Customer Complaint

March 25, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gary Nethen (Nethen), currently associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Nethen 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 $48,000.00 on October 19, 2020.

The policyowners questioned the suitability of the recommendation to replace their old variable annuity policies purchased in 2010 with two new variable annuity policies purchased in 2020 with new 9 year surrender charges funded by selling their former policies at losses of $25,000 and $23,000, respectively and request a review.

Broker Adam Tafoya in First Heartland Capital, INC. Firm Has Customer Complaint

March 25, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Adam Tafoya (Tafoya), previously associated with First Heartland Capital, INC., has at least one disclosable event. These events include one customer complaint, alleging that Tafoya 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 $17,158.28 on October 20, 2020.

The customer questioned the suitability of the variable annuity policy that she purchased in March 2015 recommended by the RR. The customer requested to surrender the policy and waive the surrender charges and any penalties.

Broker Todd Barnthouse in Smith, Moore & CO. Firm Has Customer Complaint

March 25, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Todd Barnthouse (Barnthouse), currently associated with Smith, Moore & CO., has at least one disclosable event. These events include one customer complaint, alleging that Barnthouse 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 $30,000.00 on October 15, 2020.

Customer alleges unsuitable alternative investment recommendation. Activity Period: 2/6/2014 – 9/17/2020.

There are Recent Customer Complaints with Broker David Gingerella in Firm Merrill Lynch, Pierce, Fenner & Smith Incorporated

March 25, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Gingerella (Gingerella), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Gingerella 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 $900,000.00 on October 20, 2020.

Alleges unsuitable trading between May 2014 to March 2016.

Broker John Pestikas in Pnc Wealth Management LLC Firm Has Customer Complaint

March 25, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Pestikas (Pestikas), currently associated with Pnc Wealth Management LLC, has at least one disclosable event. These events include one customer complaint, alleging that Pestikas 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 $35,955.54 on October 15, 2020.

Client alleges registered representative did not correctly explain how additional premiums would be credited to the contract’s income rider.

There are Recent Customer Complaints with Broker Nathan Fincher in Firm Santander Securities LLC

March 25, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nathan Fincher (Fincher), previously associated with Santander Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Fincher 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 $48,000.00 on October 19, 2020.

The policyowners questioned the suitability of the recommendation to replace their old variable annuity policies purchased in 2010 with two new variable annuity policies purchased in 2020 with new 9 year surrender charges funded by selling their former policies at losses of $25,000 and $23,000, respectively and request a review.