Reg BI

Broker Yee Chan in Td Ameritrade, INC. Firm Has Customer Complaint

July 7, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Yee Chan (Chan), previously associated with Td Ameritrade, INC., has at least one disclosable event. These events include one customer complaint, alleging that Chan 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 $320,000.00 on September 26, 2023.

The client alleges in May 2023, the representative contacted the client and improperly solicited him to resume activities in the TD Ameritrade account.

Broker Nicholas Carter in Cetera Advisor Networks LLC Firm Has Customer Complaint

July 7, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nicholas Carter (Carter), currently associated with Cetera Advisor Networks LLC, has at least one disclosable event. These events include one customer complaint, alleging that Carter 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 $550,000.00 on September 26, 2023.

Claimant alleges, inter alia, breach of fiduciary duty with respect to the lack of detection of the alleged outside fraud perpetuated against the client.

Broker Gina Francisco in LPL Financial LLC Firm Has Customer Complaint

July 7, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gina Francisco (Francisco), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Francisco 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 $75,000.00 on September 22, 2023.

Customer alleges advisor made an unsuitable recommendation of an alternative investment in February 2013.

There are Recent Customer Complaints with Broker Ernesto Chavez in Firm Emerson Equity LLC

July 7, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on September 22, 2023.

Breach of Fiduciary Duty, Negligent Misrepresentation and Breach of Contract in connection with the sale of securities.

There are Recent Customer Complaints with Broker Carlo Freese in Firm Charles Schwab & Co., INC.

July 7, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Carlo Freese (Freese), currently associated with Charles Schwab & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Freese 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 $24,776.31 on September 22, 2023.

Client alleges representative did not follow specific investment instructions provided in June 2023

There are Recent Customer Complaints with Broker Anthony Taylor in Firm Nylife Securities LLC

July 7, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on September 22, 2023.

The Customer alleges they received inaccurate information related to the charges associated with their mutual fund account, which resulted in unanticipated withdrawal charges.

Broker Stephen Medina in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

July 7, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stephen Medina (Medina), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Medina 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 $782,500.00 on September 27, 2023.

Client alleges misrepresentations and unsuitable investments between February 2022 and December 2022.

There are Recent Customer Complaints with Broker Ramiro Colon in Firm Acp Securities, LLC

July 7, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ramiro Colon (Colon), currently associated with Acp Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Colon 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 $5,000,000.00 on September 22, 2023.

Time frame: Unspecified. Allegations: Claimants allege that the Financial Advisor\, mispresented the risks of Puerto Rico closed-end funds.

Broker Dorann Hurley in Geneos Wealth Management, INC. Firm Has Customer Complaint

July 7, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dorann Hurley (Hurley), currently associated with Geneos Wealth Management, INC., has at least one disclosable event. These events include one customer complaint, alleging that Hurley 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 $519,475.00 on September 26, 2023.

Clients allege that accounts held with Respondents were not properly managed and assert various causes of action arising from management of the accounts at issue.

Broker Leslie Highley in UBS Financial Services Incorporated of Puerto Rico Firm Has Customer Complaint

July 7, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on September 22, 2023.

Time frame: Unspecified.\, \, Allegations: Claimants allege that the Financial Advisor mispresented the risks of Puerto Rico closed-end funds.