Reg BI

There are Recent Customer Complaints with Broker Helen Grace Caldwell in Firm Wells Fargo Clearing Services, LLC

November 23, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Helen Grace Caldwell (Caldwell), previously associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Caldwell 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 May 06, 2025.

Claimant alleges damages in connection with an outside investment in a former registered representative’s outside business.

Broker Roger Ingwersen in Aw Securities Firm Has Customer Complaint

November 23, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on February 13, 2025.

The customer alleges that respondents The Harvest Group Wealth Management, LLC, Roger H. Ingwersen, Laurie Ingwersen and Todd Ingwersen collectively engaged in unsuitable investment practices, misrepresentations, and failed to act on client instructions, resulting in avoidable losses.

Broker Naafe Hakeem in J.P. Morgan Securities LLC Firm Has Customer Complaint

November 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Naafe Hakeem (Hakeem), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hakeem 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 $115,141.31 on September 10, 2025.

Customer alleges unauthorized trading regarding managed account investment. Activity dates 5/29/25 through 10/2/25

There are Recent Customer Complaints with Broker Eric Bell in Firm Emerson Equity LLC

November 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eric Bell (Bell), currently associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bell 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 $542,000.00 on July 09, 2025.

Violation of Federal Securities Laws; Violation of the Colorado Securities Act; Violation of Colorado Consumer Protection Act; Breach of Contract; Common Law Fraud; Breach of Fiduciary Duty; Negligence and Gross Negligence. Trades placed in 2021

There are Recent Customer Complaints with Broker Taylor Armstrong in Firm Aurora Securities

November 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Taylor Armstrong (Armstrong), currently associated with Aurora Securities, has at least one disclosable event. These events include one customer complaint, alleging that Armstrong 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 $5,000,000.00 on September 15, 2025.

Claimant alleges mismanagement of their account(s).

Broker Troy Robertson in Emerson Equity LLC Firm Has Customer Complaint

November 22, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on September 17, 2025.

Breach of contract and warranties, promissory estoppel, consumer protection and deceptive trade practices act, violation of securities statutes, breach of fiduciary duty, claims under common law, vicarious liability, violation of Regulation Best Interest

Broker Anthony Pucci in Craft Capital Management LLC Firm Has Customer Complaint

November 22, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on September 10, 2025.

Time frame: Unspecified. Customers allege breach of fiduciary duty, unsuitable investments, material misrepresentations, material omissions, breach of FINRA rules and breach of contract on the part of Registered Representative in relation to the customers investments.

Broker Andrew Hess in LPL Enterprise, LLC Firm Has Customer Complaint

November 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andrew Hess (Hess), currently associated with LPL Enterprise, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hess 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 $24,000.00 on September 01, 2025.

Customers allege that in December of 2016, representative recommended an investment strategy in systematic investment plans that was inappropriate for the customers’ investment objectives and risk tolerance.

There are Recent Customer Complaints with Broker Sean Mccabe in Firm Network 1 Financial Securities INC.

November 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sean Mccabe (Mccabe), currently associated with Network 1 Financial Securities INC., has at least one disclosable event. These events include one customer complaint, alleging that Mccabe 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 $522,500.00 on September 08, 2025.

Excessive Trading, Breach of Fiduciary Duty, Negligence, Unsuitability

Broker Brittany Slater Gautreau in American Trust Investment Services, INC. Firm Has Customer Complaint

November 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brittany Slater Gautreau (Slater Gautreau), previously associated with American Trust Investment Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Slater Gautreau 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 September 15, 2025.

Breach of contract; Breach of fiduciary duty; Professional negligence; Fraudulent concealment; Negligent misrepresentation. The complaint alleges that, around October 2024, the defendant provided advice regarding IRA distributions to fund a property purchase, resulting in unexpected taxes and penalties on a $253,000 distribution.