Reg BI

There are Recent Customer Complaints with Broker Daniel Lopez in Firm UBS Financial Services INC.

January 18, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Lopez (Lopez), previously associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Lopez 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 $300,000.00 on November 04, 2021.

Claimants allege their investments in Puerto Rico municipal bonds and closed-end funds were unsuitable, over-concentrated, and misrepresented as safe investments.

Broker Jung Lee in Independent Financial Group, LLC Firm Has Customer Complaint

January 18, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jung Lee (Lee), currently associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lee 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 $150,000.00 on November 12, 2021.

Allege investments were not suitable and were not in line with client’s investment objectives.

Broker Donna Hines in Cetera Advisors LLC Firm Has Customer Complaint

January 18, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Donna Hines (Hines), previously associated with Cetera Advisors LLC, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Hines recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on November 08, 2021.

Without admitting or denying the findings, Hines consented to the sanction and to the entry of findings that she refused to appear for on-the-record testimony in connection with FINRA\\u2019s investigation into whether she facilitated a customer\\u2019s bitcoin investment for compensation. The findings stated that although Hines initially cooperated with FINRA\\u2019s investigation, she eventually ceased doing so.

There are Recent Customer Complaints with Broker George Stills in Firm Securian Financial Services, INC.

January 18, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker George Stills (Stills), previously associated with Securian Financial Services, INC., has at least 4 disclosable events. These events include 2 customer complaints, 2 regulatory events, alleging that Stills recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on November 09, 2021.

Stills is the subject of an order of a self-regulatory organization expelling him from a self-regulatory organization.

Broker William Burke in Wells Fargo Clearing Services, LLC Firm Has Customer Complaint

January 18, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on November 05, 2021.

Plaintiff alleges that in April 2014, the financial advisor misrepresented the handling of distribution of assets from a Trust.

Broker Randall Raymond in Osaic Wealth, INC. Firm Has Customer Complaint

January 18, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Randall Raymond (Raymond), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Raymond 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 November 10, 2021.

Customer alleges breach of fiduciary duty, negligence, and breach of contract with regard to the sale of GPB Automotive Portfolio, LP

There are Recent Customer Complaints with Broker John Van Wambeke in Firm Ameriprise Financial Services, LLC

January 18, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on November 12, 2021.

Claimant alleges that Respondents failed to timely or appropriately update the beneficiaries on her ex-husband’s accounts in 2013.

There are Recent Customer Complaints with Broker Charles Ingle in Firm Edward Jones

January 18, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Charles Ingle (Ingle), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Ingle 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 $48,000.00 on November 08, 2021.

The client alleges the financial advisor failed to follow his instructions regarding the dollar amount of mutual funds to be sold in his account.

There are Recent Customer Complaints with Broker Robert Dunnavant in Firm the O.n. Equity Sales Company

January 18, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Dunnavant (Dunnavant), previously associated with the O.n. Equity Sales Company, has at least one disclosable event. These events include one customer complaint, alleging that Dunnavant 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 $150,000.00 on November 12, 2021.

Clients allege they were sold illiquid and unsuitable investments

Broker Roy Budd in Morgan Stanley Firm Has Customer Complaint

January 18, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Roy Budd (Budd), previously associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Budd 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 November 08, 2021.

Claimant alleges, inter alia, unsuitability with respect to concentrated investment in managed account – April, 2019.