Reg BI

There are Recent Customer Complaints with Broker Cooper Carden in Firm Northwestern Mutual Investment Services, LLC

August 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Cooper Carden (Carden), previously associated with Northwestern Mutual Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Carden 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, 2026.

Client alleged that the signature on the Term Conversion form was not his and that he did not recognize or review the document. The firm rescinded the non-variable insurance policy.

There are Recent Customer Complaints with Broker Trawnegan Gall in Firm Wealthforge Securities, LLC

August 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Trawnegan Gall (Gall), currently associated with Wealthforge Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Gall 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 $100,000.00 on May 16, 2026.

From investment activity in August 2023, claimants allege the following: breach of fiduciary duty, negligence/gross negligence, misrepresentation and omission, failure to supervise, violation of Reg BI, violation of the California Securities Act, fraud, breach of contract, and unjust enrichment.

Broker Carey Rolls in Kestra Investment Services, LLC Firm Has Customer Complaint

August 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Carey Rolls (Rolls), previously associated with Kestra Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Rolls 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 $500,000.00 on May 13, 2026.

Customers allege that their former financial advisor directed them to invest in a non-Firm loan investment and in a separate non-Firm business venture (boat and shipping company), both of which investments were unsuitable and resulted in losses to their investment amounts. Customers assert claims of breach of fiduciary duty, fraud, and civil theft.

There are Recent Customer Complaints with Broker Marcus Decker in Firm LPL Financial LLC

August 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Marcus Decker (Decker), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Decker 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 $250,000.00 on May 19, 2026.

Customer\\u2019s beneficiary alleges that two investments made in 2014 were not consistent for the customer’s investment objectives and risk tolerance.

There are Recent Customer Complaints with Broker Robert Zink in Firm Emerson Equity LLC

August 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Zink (Zink), currently associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Zink 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 $10,000,000.00 on May 19, 2026.

Compensatory damages, breach of written contract, breach of fiduciary duty, negligence and gross negligence, misrepresentations and omissions, violation of FINRA Rules, violation of California Securities Act and federal securities laws and violation of Regulation Best Interest Obligations. Investments made in 2022\,

Broker Francesco Traina in Raymond James Financial Services, INC. Firm Has Customer Complaint

August 20, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on May 08, 2026.

Plaintiff alleges that in 2015, an unauthorized bank account was opened in the Plaintiff\\u2019s company\\u2019s name and signature cards were forged by the financial advisor and an unregistered employee of Wells Fargo.

Broker Laurie Ingwersen in Aw Securities Firm Has Customer Complaint

August 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Laurie Ingwersen (Ingwersen), currently associated with Aw Securities, has at least one disclosable event. These events include one customer complaint, alleging that Ingwersen 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 $334,936.00 on May 14, 2026.

The customer alleges that respondents The Harvest Group Wealth Management, LLC, Roger H. Ingwersen, Laurie Ingwersen and Todd Ingwersen collectively engaged in unsuitable investment practices, misrepresentations, and failed to act on client instructions, resulting in avoidable losses. The respondents each deny all wrongdoing, and maintain that all actions were consistent with the clients' instructions and risk profiles, and attributes losses to market conditions rather than mismanagement. Customer dispute was resolved on May 7, 2026 via settlement. Respondents deny all allegations and did not admit liability. No findings were made by any regulatory body or arbitration panel.

Broker Corey Sarosy in Benjamin F. Edwards & Company, INC. Firm Has Customer Complaint

August 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Corey Sarosy (Sarosy), currently associated with Benjamin F. Edwards & Company, INC., has at least one disclosable event. These events include one customer complaint, alleging that Sarosy 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 $50,000.00 on May 14, 2026.

It is alleged that the FA facilitated a QDRO related transfer of retirement assets, held outside of the FA\\u2019s broker-dealer, without verifying the amount owed resulting in loss of assets and potential growth.

There are Recent Customer Complaints with Broker Darren Wicks in Firm Edward Jones

August 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Darren Wicks (Wicks), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Wicks 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 $240,000.00 on May 05, 2026.

The executor of a deceased customer\\u2019s estate filed a civil action alleging that customer assets held at the firm were improperly transferred to third parties who are related to the plaintiff and the deceased customer, and that the registered representative assisted in those actions. The lawsuit seeks monetary damages. The firm and registered representative deny all wrongdoing.

Broker Michael Gerken in Thrivent Investment Management INC. Firm Has Customer Complaint

August 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Gerken (Gerken), currently associated with Thrivent Investment Management INC., has at least one disclosable event. These events include one customer complaint, alleging that Gerken 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 $8,538.80 on May 12, 2026.

Client alleged unauthorized Qualified Charitable Distributions occurred due to handwriting of corrected dollar amount initials and date on corrected form not matching that of the owner. Client named two RRs in allegations. Firm\\u2019s investigation concluded RR had no knowledge of this client at the time of distribution request, nor did RR know that date and initials had been placed on the corrected form. Alleged activity occurred months prior to RR\\u2019s affiliation with the client. RRs current affiliation with the client is due to RR\\u2019s purchase of practice from other RR named in the complaint months after the date of the allegations.