Reg BI

There are Recent Customer Complaints with Broker Matthew Cochran in Firm Northwestern Mutual Investment Services, LLC

March 1, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Cochran (Cochran), previously associated with Northwestern Mutual Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Cochran 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 $184,000.00 on March 02, 2021.

Customers allege that from March 2016 until at least April 17, 2017, Representative provided fraudulent and defective investment advice and made false representations and omissions of material facts in connection with the sale of securities sold away from and not sanctioned by Northwestern Mutual Investment Services, with the intent to deceive the customers and in breach of his fiduciary duty. Customers allege that they did not discover Representative’s fraud, deception and mismanagement of their accounts that resulted in a total loss of their investment of $184,000.00 until March 2018.

There are Recent Customer Complaints with Broker Omar Henry in Firm Cetera Advisors LLC

March 1, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 01, 2021.

Claimant alleges that the registered representative made unsuitable recommendation.

There are Recent Customer Complaints with Broker Nicholas Baecker in Firm Thrivent Investment Management INC.

March 1, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nicholas Baecker (Baecker), previously associated with Thrivent Investment Management INC., has at least 3 disclosable events. These events include one customer complaint, 2 regulatory events, alleging that Baecker recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on February 25, 2021.

Misstatements on applications and forged signatures

There are Recent Customer Complaints with Broker Jeffrey Zelka in Firm MML Investors Services, LLC

March 1, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Zelka (Zelka), previously associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Zelka 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 $38,000.00 on February 24, 2021.

Unsuitability, misrepresentation/omission

Broker Michael Blackham in LPL Financial LLC Firm Has Customer Complaint

March 1, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 01, 2021.

Counsel for the customer alleges unsuitable investment strategy. Activity period: 1/23/10 to 3/1/21

Broker Robert Webb in Kalos Capital, INC. Firm Has Customer Complaint

March 1, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Webb (Webb), previously associated with Kalos Capital, INC., has at least one disclosable event. These events include one customer complaint, alleging that Webb 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 February 26, 2021.

Breach of contract, breach of fiduciary duty and violations of Florida securities statutes. Claimant is seeking an award in the amount of between $50,000 and $100,000, including all direct and/or consequential damages and statutory and/or punitive damages; plus interest and costs as provided by statute.

Broker Kenneth Martens in Cetera Advisors LLC Firm Has Customer Complaint

March 1, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 02, 2021.

Claimant alleges their registered representative recommended unsuitable alternative investments.

There are Recent Customer Complaints with Broker Samuel Monchik in Firm Geneos Wealth Management, INC.

March 1, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Samuel Monchik (Monchik), previously associated with Geneos Wealth Management, INC., has at least one disclosable event. These events include one customer complaint, alleging that Monchik 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 $1,000,000.00 on February 25, 2021.

Client alleges unsuitable investment recommendations between 2015-2017 and other causes of action.

Broker Christian Rickenbach Loubriel in Popular Securities, LLC Firm Has Customer Complaint

March 1, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christian Rickenbach Loubriel (Rickenbach Loubriel), currently associated with Popular Securities, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Rickenbach Loubriel 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 $215,000.00 on February 23, 2021.

Claimant alleges that Financial Consultant investment recommendations to purchase and to hold P.R. Securities were unsuitable in light of the clients’ risk tolerance. Claimants also allege that recommendations made by the Financial Consultant were particularly egregious in light of Puerto Rico’s well known deteriorating financial condition.

Broker Vernon Syverson in PFS Investments INC. Firm Has Customer Complaint

March 1, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 02, 2021.

The statement of claim alleges breach of fiduciary duty, intentional negligence misrepresentation, and other violations in connection with my recommendation to transfer certain mutual fund shares in 2016.