Reg BI

Broker Christopher Hasbrouck in Berthel, Fisher & Company Financial Services, INC. Firm Has Customer Complaint

March 2, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Hasbrouck (Hasbrouck), previously associated with Berthel, Fisher & Company Financial Services, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Hasbrouck recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on February 19, 2021.

The clients allege the investments they purchased from 2013-2015 were unsuitable, illiquid, and misrepresented to them by the representative. Additionally, the clients allege the firm failed to supervise the actions of the representative and failed to conduct adequate due diligence.

There are Recent Customer Complaints with Broker Matthew Nelson in Firm Cambridge Investment Research, INC.

March 2, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Nelson (Nelson), previously associated with Cambridge Investment Research, INC., 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 $2,200,000.00 on February 16, 2021.

Statement of Claim alleges Claimants were sold multiple alternative investments based on material misrepresentations and omissions. Claimants allege they were over-concentrated in high-risk, high-commission and speculative alternative investments.

Broker Daniel Wyson in Commonwealth Financial Network Firm Has Customer Complaint

March 2, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Wyson (Wyson), currently associated with Commonwealth Financial Network, has at least one disclosable event. These events include one customer complaint, alleging that Wyson 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 $80,000.00 on February 23, 2021.

Customer alleges purchases of various alternative investments were unsuitable.

There are Recent Customer Complaints with Broker Matthew Martellaro in Firm Crown Capital Securities, L.p.

March 2, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Martellaro (Martellaro), previously associated with Crown Capital Securities, L.p., has at least one disclosable event. These events include one customer complaint, alleging that Martellaro 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 February 18, 2021.

Customer alleges a liquidation placed for a highly appreciated stock was not authorized and that the alleged action caused the account to miss a stock dividend and subject the customer to significant capital gains.

There are Recent Customer Complaints with Broker Jeanpierre Ayala in Firm I-bankers Securities, INC.

March 2, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeanpierre Ayala (Ayala), currently associated with I-bankers Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Ayala 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 16, 2021.

Clients allege unsuitability

Broker Vanessa Perez Fernandez in Popular Securities, LLC Firm Has Customer Complaint

March 2, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Vanessa Perez Fernandez (Perez Fernandez), currently associated with Popular Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Perez Fernandez 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 $215,000.00 on February 23, 2021.

Claimant alleges that Financial Consultant investment recommendations to purchase and to hold P.R. Securities were unsuitable in light of the clients’ risk tolerance. Claimants also allege that recommendations made by the Financial Consultant were particularly egregious in light of Puerto Rico’s well known deteriorating financial condition.

There are Recent Customer Complaints with Broker Richard Davis in Firm Osaic Wealth, INC.

March 2, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Davis (Davis), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Davis 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 $5,000.00 on February 17, 2021.

Customer alleges that representative provided poor advice on exchange of life insurance resulting in negative tax consequences for customer.

There are Recent Customer Complaints with Broker James Senderling in Firm RBC Capital Markets, LLC

March 2, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on February 17, 2021.

Client alleges he instructed his financial advisor to purchase 100 shares of Tesla stock on January 22, 2020, wants to be made whole for price and number of shares as there was a stock split in August 2020.

There are Recent Customer Complaints with Broker Jeffrey Gundrum in Firm Equitable Advisors, LLC

March 2, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on February 17, 2021.

Client alleges the terms and benefits of his variable annuity (purchased in 2020) were not properly disclosed to him.

Broker Andrew Burish in UBS Financial Services INC. Firm Has Customer Complaint

March 2, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a award / judgment customer complaint with a damage request of $23,085,874.00 on February 23, 2021.

Time frame: September 2019- July 2020\, The Claimants allege that the FA recommended an unsuitable and risky strategy of selling the stock of Tesla short and recommended that they continue to hold the positions in the face of mounting losses. The First Amended Statement of Claim has added a claim for fraud alleging that the FA failed to advise them that he was no longer shorting Tesla in his own account from July 2019-June 2020.