Reg BI

There are Recent Customer Complaints with Broker Lynda Tucker in Firm Nylife Securities LLC

November 26, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on May 11, 2022.

Customer alleges the Survivorship Variable Universal Life Insurance policy he purchased along with his wife in December 2001 was originally understood to include a rider that would pay a death benefit upon the passing of either insured. He states that he is now being told after his wife’s passing that the rider originally selected does not provide a death benefit but rather a waiver of the cost of insurance after the passing of the first insured, which is not consistent with his previous understanding.

There are Recent Customer Complaints with Broker Bryan Kupchik in Firm LPL Financial LLC

November 26, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bryan Kupchik (Kupchik), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kupchik 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 $97,953.00 on May 13, 2022.

Claimants allege that certain alternative investments purchased through another broker were unsuitable because their value allegedly declined. Activity Period: September of 2016 to May of 2022.

Broker Timothy Albert in Pnc Wealth Management LLC Firm Has Customer Complaint

November 26, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Timothy Albert (Albert), currently associated with Pnc Wealth Management LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Albert 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 $15,764.00 on May 09, 2022.

Customer alleges that representative did not correctly explain the features associated with the investments and they were not consistent with her stated objectives.

Broker Robin Saleeby in Innovation Partners LLC Firm Has Customer Complaint

November 26, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robin Saleeby (Saleeby), previously associated with Innovation Partners LLC, has at least one disclosable event. These events include one customer complaint, alleging that Saleeby 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 $6,974.29 on May 06, 2022.

Customer alleges that financial professional misrepresented variable annuity purchased in 2021 and failed to timely deliver contract.

Broker Drew Pickard in Morgan Stanley Firm Has Customer Complaint

November 26, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Drew Pickard (Pickard), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Pickard 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 $5,200.00 on May 09, 2022.

Client alleged that the Advisor failed to follow the client’s instructions to liquidate her accounts prior to transfer. Allegation period May 3, 2022 to May 9, 2022.

Broker Gerald Roth in Thrivent Investment Management INC. Firm Has Customer Complaint

November 26, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on May 09, 2022.

Client alleged variable annuity subaccount reallocation did not take place as requested in April 2022.

There are Recent Customer Complaints with Broker Michael Timmons in Firm Edward Jones

November 26, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Timmons (Timmons), previously associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Timmons 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 $19,000.00 on May 09, 2022.

The financial advisor made a recommendation to move to a tax advisory and caused tax implications.

There are Recent Customer Complaints with Broker Clifford Rosner in Firm Voya Financial Advisors, INC.

November 26, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Clifford Rosner (Rosner), previously associated with Voya Financial Advisors, INC., has at least one disclosable event. These events include one customer complaint, alleging that Rosner 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 May 12, 2022.

Claimant alleges that recommendations to purchase alternative investments were unsuitable and misrepresented at the time of purchase in 2015.

There are Recent Customer Complaints with Broker Christopher Endres in Firm Arvest Wealth Management

November 25, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Endres (Endres), currently associated with Arvest Wealth Management, has at least one disclosable event. These events include one customer complaint, alleging that Endres 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 $32,224.89 on May 13, 2022.

Chris Endres solicited a whole life policy for [REDACTED] and told the customer that he would be able to take out what he put into the policy and that if the funds were taken out, the policy would just lapse. This was a material misstatement that was caught in follow up meetings with the customer by another associate. Customer has verbally requested that the policy be surrendered, and that he wants to be reimbursed the full premium amount of $97,360, of which $32,224.89 is to be paid by Arvest Wealth Management.

There are Recent Customer Complaints with Broker Jazlynn Torres in Firm Vanguard Marketing Corporation

November 25, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on May 18, 2022.

Client alleges that the Financial Advisor failed to follow their instructions to liquidate their mutual fund position and reallocate the proceeds to a money market fund. The dates when the activities took place are March 22, 2022 thru May 20, 2022.