Reg BI

There are Recent Customer Complaints with Broker Robert Maricle in Firm Edward Jones

January 16, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Maricle (Maricle), previously associated with Edward Jones, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Maricle 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 $11,417.00 on December 02, 2021.

The client exchanged American Mutual Funds in his account on 12/20/2020 and alleges that the financial advisor informed him there would be no fees, no commissions and no financial penalties. Additionally, the client alleges the financial advisor made no mention of the potential for tax consequences associated with the exchanges.

Broker Narith Long in Nylife Securities LLC Firm Has Customer Complaint

January 16, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Narith Long (Long), previously associated with Nylife Securities LLC, has at least 9 disclosable events. These events include 8 customer complaints, one regulatory event, alleging that Long 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 $80,000.00 on November 24, 2021.

Claimant alleges that in 2020, the RR advised her to open brokerage accounts with outside broker-dealers, which the RR would manage with full discretion to trade on the complainant’s behalf. The complainant further alleged the RR implemented a high-risk, high-volume, high frequency investment strategy causing her to lose $80,000. Claimant seeks compensation for her losses as well as punitive damages, interest, attorney and consulting fees.

Broker Peter Baldeo in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

January 16, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on November 22, 2021.

The customer alleges failure to follow instructions, unauthorized trading and that the Financial Advisor was not acting in his best interests from May 2021 until November 2021.

Broker Michael Napolitano in Arete Wealth Management, LLC Firm Has Customer Complaint

January 16, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Napolitano (Napolitano), currently associated with Arete Wealth Management, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Napolitano 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 $350,000.00 on November 29, 2021.

Misrepresentation and failure to conduct reasonable due diligence.

There are Recent Customer Complaints with Broker Linda Liu in Firm Wells Fargo Clearing Services, LLC

January 16, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Linda Liu (Liu), currently associated with Wells Fargo Clearing Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Liu 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 $500,000.00 on December 03, 2021.

Claimant alleges unsuitable investment recommendations that resulted in losses.

Broker Travis Eiland in Hd Vest Investment Services Firm Has Customer Complaint

January 16, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint on November 30, 2021.

Respondent Eiland failed to respond to FINRA requests for information.

Broker Kevin Rainwater in Arkadios Capital Firm Has Customer Complaint

January 16, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Rainwater (Rainwater), previously associated with Arkadios Capital, has at least 4 disclosable events. These events include 4 customer complaints, alleging that Rainwater 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 23, 2021.

Client since 2015 claims unsuitable products/REITS/alternatives

There are Recent Customer Complaints with Broker Ted Ngo in Firm Nylife Securities LLC

January 16, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ted Ngo (Ngo), currently associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Ngo 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 $15,853.74 on December 02, 2021.

Customer alleges that in March 2018, he was misled regarding the surrender schedule and charges related to a Variable Annuity.

Broker Eric Jenson in LPL Financial LLC Firm Has Customer Complaint

January 16, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eric Jenson (Jenson), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Jenson 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 $9,601.44 on November 30, 2021.

Client alleges that rep misrepresented the variable annuity product at the time of sale.

There are Recent Customer Complaints with Broker Charles Bonilla in Firm Pruco Securities, LLC.

January 16, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on November 23, 2021.

Unsuitability, misrepresentation/omissions