Reg BI

There are Recent Customer Complaints with Broker Kim Dingee in Firm Ameriprise Financial Services, LLC

December 10, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kim Dingee (Dingee), previously associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Dingee 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 $99,999.99 on January 21, 2022.

Claimant alleges that she was sold an unsuitable, risky and complex alternative investment product, FSKR

Broker Shawn Nelson in LPL Financial LLC Firm Has Customer Complaint

December 10, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Shawn Nelson (Nelson), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Nelson 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 $24,049.00 on January 26, 2022.

Customer alleged that instruction to liquidate account was not immediately followed, resulting in value of account after full liquidation being lower than it should have been if it had been immediately liquidated. Customer requested reimbursement for the difference in value. Activity period – 12/17/21 to 1/26/22

There are Recent Customer Complaints with Broker Michael Chandler in Firm LPL Financial LLC

December 10, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Chandler (Chandler), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Chandler 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 January 27, 2022.

Poor recommendation and over-concentration of an illiquid investment without conducting reasonable due diligence

There are Recent Customer Complaints with Broker David Carbiener in Firm Steward Partners Investment Solutions, LLC

December 10, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Carbiener (Carbiener), currently associated with Steward Partners Investment Solutions, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Carbiener 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 $7,580.00 on January 29, 2022.

Client alleges the Advisor failed to execute a mutual fund exchange upon request. The Firm found no evidentiary support. While denying the allegations, the Firm decided to settle the matter.

There are Recent Customer Complaints with Broker Nicolas Barrios in Firm UBS Financial Services INC.

December 10, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on January 21, 2022.

Time Frame: 2012-2019 \, \, Allegations: POA for Claimant alleges FA Barrios invested in unsuitable speculative start up software company, provided falsified account statements to Claimant, and misappropriated Claimant’s funds invested.

There are Recent Customer Complaints with Broker Mark Graham in Firm Wells Fargo Clearing Services, LLC

December 10, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on January 24, 2022.

Customer complained that instruction to telephone customer upon receipt of securities was not followed, resulting in lost market proceeds. (1/6/2022-1/24/2022)

Broker Jerry Tuma in Independent Financial Group, LLC Firm Has Customer Complaint

December 10, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jerry Tuma (Tuma), currently associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Tuma 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 January 21, 2022.

Claims investment was not suitable and was not in line with stated objectives.

There are Recent Customer Complaints with Broker Ammie Mareez De Los Reyes in Firm Nylife Securities LLC

December 9, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on February 07, 2022.

Customer alleges the Fixed Annuity policy she purchased in February 2021 contains a longer surrender charge period than was originally understood and the information represented on her Client Profile is not accurate.

There are Recent Customer Complaints with Broker Mario Renteria, in Firm J.P. Morgan Securities LLC

December 9, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mario Renteria, (Renteria,), previously associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Renteria, 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 $10,000.00 on February 01, 2022.

The client alleges the financial advisor failed to follow instructions and her account lost value.

There are Recent Customer Complaints with Broker Bradley Lange in Firm Wells Fargo Clearing Services, LLC

December 9, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on January 31, 2022.

Customer alleges that, as told, this investment had a penalty of about $2,000.00 or if was withdraw before maturity, but it was not subject to any loss of values from the market.