Reg BI

There are Recent Customer Complaints with Broker Andrew Douglas in Firm Castle Placement, LLC

July 3, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on October 26, 2023.

Nov. 29, 2021- Oct. 25, 2022

Broker Feng Jin in UBS Financial Services INC. Firm Has Customer Complaint

July 3, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on October 25, 2023.

Time Frame: September 8th, 2023 to October 16th 2023\, \, What were the allegations against the individual? The Client alleges the SRCA failed to follow his instructions by not executing trades in all of the accounts provided. Alleged damages are estimated to be in excess of $5,000.00.

There are Recent Customer Complaints with Broker Allen Martin in Firm Nylife Securities LLC

July 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Allen Martin (Martin), previously associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Martin 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 $25,000.00 on October 25, 2023.

The policyowner alleges the RR did not fully inform him that he purchased a variable universal life insurance policy in February 2018. He believed he had purchased an annuity that included a life insurance policy. The policyowner later learned that he purchased a variable universal life insurance policy and not an annuity. The company has offered to rescind policy and refund premiums paid less the cost of term insurance for the time the policy was in-force.

There are Recent Customer Complaints with Broker Nathan Stucky in Firm LPL Financial LLC

July 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nathan Stucky (Stucky), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Stucky 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 $26,000.00 on October 25, 2023.

Customer alleges that from early 2022 to the present, the accounts have been improperly managed and invested in unsuitable investments.

Broker David Thiele in Osaic Wealth, INC. Firm Has Customer Complaint

July 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Thiele (Thiele), currently associated with Osaic Wealth, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Thiele 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 $325,000.00 on October 24, 2023.

Claimant alleges unsuitable recommendation and sale of alternative investment.

There are Recent Customer Complaints with Broker Joanne Farace in Firm David Lerner Associates, INC.

July 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joanne Farace (Farace), currently associated with David Lerner Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Farace 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 October 23, 2023.

Allegations: unsuitability, misrepresentation/omission \, \, Allegation period: February 26, 2015 the date of the first purchase of the investments at issue to October 23, 2023 the date the SOC was received.

There are Recent Customer Complaints with Broker Samuel Julian in Firm Ausdal Financial Partners, INC.

July 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Samuel Julian (Julian), currently associated with Ausdal Financial Partners, INC., has at least one disclosable event. These events include one customer complaint, alleging that Julian 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 $85,000.00 on October 26, 2023.

Failure to supervise, Unsuitable investments, Violation of federal and state securities laws.

There are Recent Customer Complaints with Broker Chad Anderson in Firm Cetera Advisors LLC

July 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Chad Anderson (Anderson), currently associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Anderson 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 October 26, 2023.

CUSTOMER ALLEGES THAT REIT INVESGTMENT WAS MISRERESENTED AS HAVING NO RISK. Activity period2016-2021.

Broker Daniel Seidel in Royal Alliance Associates, INC. Firm Has Customer Complaint

July 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Seidel (Seidel), previously associated with Royal Alliance Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Seidel 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 $35,000.00 on October 25, 2023.

Client alleges rep recommended risky, illiquid, complex, and concentrated alternative investments that were unsuitable.

There are Recent Customer Complaints with Broker Martin Berman in Firm Cetera Advisors LLC

July 3, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on October 24, 2023.

Claimant generally alleges suitability, fiduciary duty, breach of contract, failure to supervise and financial elder abuse.