Reg BI

There are Recent Customer Complaints with Broker James Dickerson in Firm Edward Jones

November 26, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Dickerson (Dickerson), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Dickerson 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 $548,585.00 on May 10, 2022.

The client alleges the financial advisor did not mention the potential tax implications of transferring assets into her Edward Jones Advisory Solutions account . The client also alleges the financial advisor did not act in her best interests in failing to inform her of potential tax implications of the transfer and liquidation of assets.

Broker Matthew Clason in LPL Financial LLC Firm Has Customer Complaint

November 26, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on May 09, 2022.

Claimant alleges the RR recommended an unsuitable Real Estate Investment Trust (REIT) investment.

Broker Christopher Kazan in Arete Wealth Management, LLC Firm Has Customer Complaint

November 26, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Kazan (Kazan), previously associated with Arete Wealth Management, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Kazan 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 $200,000.00 on May 11, 2022.

Claims investments were not suitable.

There are Recent Customer Complaints with Broker Lynda Tucker in Firm Nylife Securities LLC

November 26, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on May 11, 2022.

Customer alleges the Survivorship Variable Universal Life Insurance policy he purchased along with his wife in December 2001 was originally understood to include a rider that would pay a death benefit upon the passing of either insured. He states that he is now being told after his wife’s passing that the rider originally selected does not provide a death benefit but rather a waiver of the cost of insurance after the passing of the first insured, which is not consistent with his previous understanding.

There are Recent Customer Complaints with Broker Bryan Kupchik in Firm LPL Financial LLC

November 26, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bryan Kupchik (Kupchik), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kupchik 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 $97,953.00 on May 13, 2022.

Claimants allege that certain alternative investments purchased through another broker were unsuitable because their value allegedly declined. Activity Period: September of 2016 to May of 2022.

Broker Timothy Albert in Pnc Wealth Management LLC Firm Has Customer Complaint

November 26, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Timothy Albert (Albert), currently associated with Pnc Wealth Management LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Albert 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 $15,764.00 on May 09, 2022.

Customer alleges that representative did not correctly explain the features associated with the investments and they were not consistent with her stated objectives.

Broker Robin Saleeby in Innovation Partners LLC Firm Has Customer Complaint

November 26, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robin Saleeby (Saleeby), previously associated with Innovation Partners LLC, has at least one disclosable event. These events include one customer complaint, alleging that Saleeby 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 $6,974.29 on May 06, 2022.

Customer alleges that financial professional misrepresented variable annuity purchased in 2021 and failed to timely deliver contract.

Broker Drew Pickard in Morgan Stanley Firm Has Customer Complaint

November 26, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Drew Pickard (Pickard), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Pickard 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 $5,200.00 on May 09, 2022.

Client alleged that the Advisor failed to follow the client’s instructions to liquidate her accounts prior to transfer. Allegation period May 3, 2022 to May 9, 2022.

Broker Gerald Roth in Thrivent Investment Management INC. Firm Has Customer Complaint

November 26, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on May 09, 2022.

Client alleged variable annuity subaccount reallocation did not take place as requested in April 2022.

There are Recent Customer Complaints with Broker Michael Timmons in Firm Edward Jones

November 26, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Timmons (Timmons), previously associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Timmons 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 $19,000.00 on May 09, 2022.

The financial advisor made a recommendation to move to a tax advisory and caused tax implications.