Articles Posted in Reg BI

| by

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

FINRA BrokerCheck shows a pending customer complaint on July 26, 2023.

Claimant alleges that beginning in or around February 2016, and throughout the relationship with Schwab, Schwab representatives made misrepresentations and unsuitable investment recommendations relating to municipal bonds, which caused investment losses.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joel Farnsworth (Farnsworth), currently associated with Wedbush Securities INC., has at least one disclosable event. These events include one customer complaint, alleging that Farnsworth 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 $4,200,000.00 on July 21, 2023.

Negligence and Breach of Fiduciary Duty

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kurt Kechely (Kechely), previously associated with Securities America, INC., has at least one disclosable event. These events include one customer complaint, alleging that Kechely 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 $50,000.00 on July 21, 2023.

It is alleged that unsuitable recommendations were made and that the Claimants could not understand the investment risks therein.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Marcia Campbell (Campbell), previously associated with Securities America, INC., has at least one disclosable event. These events include one customer complaint, alleging that Campbell 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 $50,000.00 on July 21, 2023.

It is alleged that unsuitable recommendations were made and that the Claimants could not understand the investment risks therein.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jan Haynes (Haynes), previously associated with Integrity Brokerage Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Haynes 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 $50,000.00 on July 24, 2023.

Unsuitable investment

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Blueweiss (Blueweiss), currently associated with Arete Wealth Management, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Blueweiss 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 July 24, 2023.

Client alleges unsuitable investment recommendations in 2021 – 2022.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Timothy Judson (Judson), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Judson 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 July 21, 2023.

The claimants allege that recommendations of two products out of many investment recommendations were not in keeping with their investment needs and objectives.

Continue Reading

| by

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

FINRA BrokerCheck shows a settled customer complaint on August 01, 2023.

The client alleges financial advisor made misrepresentations and unsuitable investment recommendations in June 2020.

Continue Reading

| by

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

FINRA BrokerCheck shows a pending customer complaint on July 26, 2023.

CLAIMANT CLAIMS LOSS DUE TO MISREPRESENTATIONS AND UNSUITABLE INVESTMENT RECOMMENDATIONS

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Girish Navare (Navare), currently associated with Kestra Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Navare 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 July 28, 2023.

Alleged breach of fiduciary duty and negligent management of individual positions and overall investment strategy.

Continue Reading
Contact Information
295 Madison Ave #705
New York, NY 10017
Toll Free: 800-810-4262
3706 N Greenview Ave
#100
Chicago, IL 60613
28 Valley Rd
#1
Montclair, NJ 07042
ATTORNEY ADVERTISING

This site is protected by reCAPTCHA and the Google Privacy Policy and Terms of Service apply.

Please do not include any confidential or sensitive information in a contact form, text message, or voicemail. The contact form sends information by non-encrypted email, which is not secure. Submitting a contact form, sending a text message, making a phone call, or leaving a voicemail does not create an attorney-client relationship.

Copyright © 2025, Gana Weinstein LLP
JUSTIA Law Firm Blog Design