Reg BI

There are Recent Customer Complaints with Broker Timothy Thelen in Firm American Trust Investment Services, INC.

September 2, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Timothy Thelen (Thelen), previously associated with American Trust Investment Services, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Thelen 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 $1,000,000.00 on May 18, 2023.

MISSREPRESENTATION; FAILURE TO CONDUCT DUE DILIGIENCE; BREACH OF COTRACT; BREACH OF FIDUCIARY DUTY; FAILURE TO SUPERVISE; NEGLAGENCE; VIOLATION OF FINRA RULES; VIOLATION OF SECURITIES LAW; ELDER ABUSE; VIOLATION OF REG-BI.

There are Recent Customer Complaints with Broker Ray Reese in Firm Money Concepts Capital CORP

September 2, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ray Reese (Reese), currently associated with Money Concepts Capital CORP, has at least one disclosable event. These events include one customer complaint, alleging that Reese 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 $450,000.00 on May 16, 2023.

Breach of fiduciary duty, suitability, and misrepresentation

There are Recent Customer Complaints with Broker Seth Mason in Firm Morgan Stanley

September 2, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Seth Mason (Mason), previously associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Mason 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, 2023.

Claimants allege, inter alia, that the investment strategy executed in their account was unsuitable from January 2007 to February 14, 2023.

Broker Ivan Gefen in Newbridge Securities Corporation Firm Has Customer Complaint

September 2, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ivan Gefen (Gefen), currently associated with Newbridge Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Gefen 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 $1,200,000.00 on May 17, 2023.

BREACH OF FIDUCIARY DUTY, NEGLIGENCE, FRAUD, BREACH OF CONTRACT, AND VIOLATION OF REGULATION BI

There are Recent Customer Complaints with Broker Noel Bragg in Firm American Trust Investment Services, INC.

September 2, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Noel Bragg (Bragg), currently associated with American Trust Investment Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Bragg 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 May 16, 2023.

Breach of fiduciary duty, Negligence and Negligent Misrepresentation, Breach of Contract, Failure to supervise, and Violation of Regulation Best Interest.

There are Recent Customer Complaints with Broker Sterling Hirsch in Firm Infinity Financial Services

September 1, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint on May 24, 2023.

The California Insurance Commissioner alleges grounds to suspend or revoke licenses and licensing rights. The allegations include ignored suitability, inducing a client to make a loan, and bounced loan repayments.

Broker Steven Hill in Wells Fargo Clearing Services, LLC Firm Has Customer Complaint

September 1, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven Hill (Hill), currently associated with Wells Fargo Clearing 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 on May 30, 2023.

Claimants allege in 2019 their Financial Advisor (FA) misrepresented unsuitable investments in order to generate higher commissions.

There are Recent Customer Complaints with Broker Robin Schultz in Firm Moloney Securities Co., INC.

September 1, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robin Schultz (Schultz), currently associated with Moloney Securities Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Schultz 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 $149,000.00 on May 22, 2023.

Suitability/negligence. 2020-2021

Broker Daisy Feng in UBS Financial Services INC. Firm Has Customer Complaint

September 1, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on May 30, 2023.

Time Frame: October 4th 2021 to May 30th 2023\, \, What were the allegations against the individual? The Trustee alleges the Financial Advisor did not give him prior notice before buying the Equity. The alleged damages are estimated to be in excess of $5,000.00.

There are Recent Customer Complaints with Broker Jeffrey Johnson in Firm Ameriprise Financial Services, LLC

September 1, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Johnson (Johnson), previously associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Johnson 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 $41,413.47 on May 24, 2023.

The clients allege their Dollar Cost Averaging (DCA) arrangement inactivated in 2016 in error, resulting in their Indexed Universal Life (IUL) policies being underfunded as their cash value remained in the fixed account. In addition, one client alleged that there was also a missed premium payment of $42,000 in August of 2016.