Reg BI

There are Recent Customer Complaints with Broker Robert Woods in Firm Wedbush Securities INC.

August 23, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Woods (Woods), currently associated with Wedbush Securities INC., has at least one disclosable event. These events include one customer complaint, alleging that Woods 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 $1,089,925.00 on June 27, 2025.

In the Statement of Claim, Claimant asserts the following causes of action: Breach of Fiduciary Duty, Unsuitable Investment Recommendations, Negligence, Failure to Supervise, Violations of Standards of Commercial Honor and Principles of Trade, Violations of Section 10(b) of the SEC Act of 1934 and Rule 10b-5, and Violations of SEC Regulation Best Interest (Reg BI) from Nov 2023- March 2024.

Broker Amber Stoll in Cetera Investment Services LLC Firm Has Customer Complaint

August 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Amber Stoll (Stoll), currently associated with Cetera Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Stoll 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 July 08, 2025.

Client alleges that the registered representative failed to act in his best interest in August 2021, related to the liquidation of a pension plan.

Broker Isaiah Williams in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

August 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Isaiah Williams (Williams), previously associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Williams 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 $3,500,000.00 on July 08, 2025.

Client alleges that the registered representative failed to act in his best interest and recommended an unsuitable asset allocation strategy.

There are Recent Customer Complaints with Broker Devin Allen in Firm Edward Jones

August 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Devin Allen (Allen), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Allen 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 $12,738.18 on July 11, 2025.

Client alleges that her FA did not accurately explain how her account fees would be charged and what would be charged. Further, she alleges the FA did not accurately explain taxes she would owe as a result of transactions.

Broker David Kluksdal in Cetera Wealth Services, LLC Firm Has Customer Complaint

August 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Kluksdal (Kluksdal), currently associated with Cetera Wealth Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kluksdal 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 July 02, 2025.

Claimant generally alleges breach of fiduciary, negligence, and failure to supervise.

There are Recent Customer Complaints with Broker John Barrett in Firm Emerson Equity LLC

August 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Barrett (Barrett), previously associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Barrett 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 $166,056.00 on July 09, 2025.

Unsuitable investment 2017

There are Recent Customer Complaints with Broker Jared Gudenkauf in Firm Merrill Lynch, Pierce, Fenner & Smith Incorporated

August 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jared Gudenkauf (Gudenkauf), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Gudenkauf 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 July 08, 2025.

Client alleges that the registered representative failed to act in his best interest in August 2021, related to the liquidation of a pension plan.

Broker Clifford Hodgman in Oppenheimer & CO. INC. Firm Has Customer Complaint

August 22, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on July 03, 2025.

Claimant alleges he suffered losses because he was not advised to diversify his account. 2008 to Present

Broker Joseph Barreca in Wells Fargo Clearing Services, LLC Firm Has Customer Complaint

August 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Barreca (Barreca), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Barreca 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 $300,000.00 on July 09, 2025.

Customer stated that Market Linked Notes that were purchased in 2021 were unsuitable for the account and not in the best interest of the customer because the account lacked diversification and the Notes were illiquid. Upon investigation, the firm concluded that the Notes were suitable for, and in the best interest of, the customer given the customer’s investment objectives and risk profile. The firm also concluded that the features of the Notes had been discussed with the customer prior to purchase.

Broker Karl Thaler in Equitable Advisors, LLC Firm Has Customer Complaint

August 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Karl Thaler (Thaler), currently associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Thaler 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 $19,999.00 on July 11, 2025.

Plaintiff alleges the RR failed to adequately disclose internal investment fees and made misrepresentations in connection with a variable annuity purchased in 2022.