Reg BI

There are Recent Customer Complaints with Broker Michael Arteca in Firm LPL Enterprise, LLC

November 15, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Arteca (Arteca), currently associated with LPL Enterprise, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Arteca 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 $78,780.00 on June 15, 2022.

Customer Alleges that the rep did not fully disclose surrender charges and all the facts regarding suitability.

There are Recent Customer Complaints with Broker David Escarcega in Firm Center Street Securities, INC.

November 15, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Escarcega (Escarcega), previously associated with Center Street Securities, INC., has at least 4 disclosable events. These events include 4 customer complaints, alleging that Escarcega 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 $383,014.45 on June 13, 2022.

Beginning in 2012 client alleges that registered representative recommended an unsuitable investment and in 2019 recommended the client renew said investment.

Broker Brian Patterson in Equitable Advisors, LLC Firm Has Customer Complaint

November 15, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on June 15, 2022.

The client alleges the RR sold them an unsuitable REIT in 2015.

There are Recent Customer Complaints with Broker David Giegerich in Firm LPL Financial LLC

November 15, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Giegerich (Giegerich), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Giegerich 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 $100,001.00 on June 14, 2022.

Claimant alleges financial adviser recommended investments that were unsuitable. Claimant generally alleges causes of action of suitability, misrepresentation, breach of contract, breach of fiduciary duty, and negligence.

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

November 15, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kent Scholten (Scholten), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Scholten recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on June 14, 2022.

The customer alleges failure to follow instructions from February 2022 until April 2022.

Broker Thomas Ren in Cambridge Investment Research, INC. Firm Has Customer Complaint

November 15, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Ren (Ren), currently associated with Cambridge Investment Research, INC., has at least one disclosable event. These events include one customer complaint, alleging that Ren 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 June 21, 2022.

Customer alleges lack of suitability and insufficient product due diligence in regards to purchases in alternative investments.

Broker James Toddy in United Planners’ Financial Services of America A Limited Partner Firm Has Customer Complaint

November 15, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Toddy (Toddy), currently associated with United Planners’ Financial Services of America A Limited Partner, has at least one disclosable event. These events include one customer complaint, alleging that Toddy 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 $383,014.45 on June 13, 2022.

Client alleges in 2019 the registered representative recommended an unsuitable transaction.

There are Recent Customer Complaints with Broker James Shawver in Firm Peak Brokerage Services, LLC

November 15, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Shawver (Shawver), previously associated with Peak Brokerage Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Shawver 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 $100,000.01 on June 14, 2022.

Allege investments were not suitable in light of the clients’ age, investment objectives and risk tolerance

There are Recent Customer Complaints with Broker Ronald Graft in Firm Wells Fargo Clearing Services, LLC

November 15, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ronald Graft (Graft), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Graft 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 $19,657.09 on June 14, 2022.

Client complained that the financial advisor misrepresented fees and premium costs of a recommended investment. (1/1/2022-5/9/2022)

There are Recent Customer Complaints with Broker Daniel Cuddy in Firm Cetera Wealth Services, LLC

November 15, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Cuddy (Cuddy), currently associated with Cetera Wealth Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Cuddy 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 $27,000.00 on June 16, 2022.

Customer alleged the purchase of MicroStrategy Incorporated (MSTR) into her discretionary managed account was not suitable.