Reg BI

Broker Jae Kim in E1 Asset Management, INC. Firm Has Customer Complaint

May 26, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jae Kim (Kim), previously associated with E1 Asset Management, INC., has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Kim recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on March 19, 2024.

Without admitting or denying the findings, Kim consented to the sanction and to the entry of findings that he refused to provide information and documents requested by FINRA in connection with its investigation concerning the circumstances giving rise to a customer arbitration.

There are Recent Customer Complaints with Broker Karry Maciak in Firm LPL Financial LLC

May 26, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Karry Maciak (Maciak), currently associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Maciak recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on March 19, 2024.

Customer alleges that an investment made in 2014 was unsuitable for the customer’s investment objectives and risk tolerance.

Broker Donald Aulbert in LPL Financial LLC Firm Has Customer Complaint

May 26, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on March 19, 2024.

The customer claims that alternative investments purchased in 2012 and 2014 were unsuitable, that the account value has declined over the past few years, and seeks a resolution.

There are Recent Customer Complaints with Broker Joseph Mattia in Firm Usi Securities, INC.

May 26, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on March 19, 2024.

Customer alleges that an investment made in 2014 was unsuitable for the customer’s investment objectives and risk tolerance.

Broker Deborah Williams in LPL Financial LLC Firm Has Customer Complaint

May 26, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on March 19, 2024.

Customer alleges that an investment made in 2014 was unsuitable for the customer’s investment objectives and risk tolerance.

There are Recent Customer Complaints with Broker Geoffrey Collins in Firm Wells Fargo Advisors Financial Network, LLC

May 26, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Geoffrey Collins (Collins), currently associated with Wells Fargo Advisors Financial Network, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Collins 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 March 19, 2024.

Attorney for customer complained that the financial advisor misrepresented the annuitization options available when the contract period ended. (4/13/2021-3/19/2024)

Broker Bradley Bowman in LPL Financial LLC Firm Has Customer Complaint

May 26, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 19, 2024.

Estate co-executor alleges representative recommended unsuitable investments to his now-deceased father-in-law some time prior to 2014.

There are Recent Customer Complaints with Broker James Cassa in Firm LPL Financial LLC

May 26, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on March 19, 2024.

Customers allege they suffered unexpected tax liabilities as a result of investment recommendations to surrender their variable annuities. Time period November 2021 to April 2023.

Broker Ryan Leblanc in LPL Financial LLC Firm Has Customer Complaint

May 26, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on March 19, 2024.

Customer alleges that an investment made in 2014 was unsuitable for the customer’s investment objectives and risk tolerance.

There are Recent Customer Complaints with Broker Jerry Kiefer in Firm Equitable Advisors, LLC

May 26, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jerry Kiefer (Kiefer), currently associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kiefer 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 $99,000.00 on March 18, 2024.

Claimants allege RR Kiefer recommended unsuitable alternative investments.