Reg BI

Broker Gustavo Velazquez Melendez in Nationwide Planning Associates INC. Firm Has Customer Complaint

November 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gustavo Velazquez Melendez (Velazquez Melendez), currently associated with Nationwide Planning Associates INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Velazquez Melendez 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 $165,000.00 on June 06, 2022.

PERIOD 9/2010 TO 1/2012. Alleges Breach of fid duty, negligence, misrepresentation, nondisclosure, failure to supervise, unsuitable recommendations,and omission of facts.

There are Recent Customer Complaints with Broker Geraldine Polvino in Firm Edward Jones

November 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Geraldine Polvino (Polvino), previously associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Polvino 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 $52,000.00 on May 31, 2022.

The client alleges the financial advisor did not inform her of the potential tax implications of transferring funds to her Edward Jones account. The clients allege the financial advisor’s recommendation to transfer the funds to the Edward Jones account, and the subsequent liquidation of Ameritrade assets and purchase of new assets in the Edward Jones account were not in her best interests. The clients allege the financial advisor and Edward Jones failed to follow instructions to minimize tax implications.

Broker Rochelle Roerig in Pnc Wealth Management LLC Firm Has Customer Complaint

November 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Rochelle Roerig (Roerig), currently associated with Pnc Wealth Management LLC, has at least one disclosable event. These events include one customer complaint, alleging that Roerig 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 $54,755.00 on June 01, 2022.

Client alleges representative’s purchase of bond for his account was inconsistent with his direction.

There are Recent Customer Complaints with Broker Monica Sinha in Firm Northwestern Mutual Investment Services, LLC

November 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Monica Sinha (Sinha), currently associated with Northwestern Mutual Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Sinha 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 $167,074.88 on June 03, 2022.

Customer alleges that in or around September 2021, the Representative recommended an unsuitable investment strategy in their advisory account.

Broker Erin Dickes in Morgan Stanley Firm Has Customer Complaint

November 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Erin Dickes (Dickes), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Dickes 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 $177,659.89 on June 06, 2022.

On September 20, 2022, without admitting any liability and to avoid the time, costs and uncertainties of a litigation, CIBC Private Wealth Advisors, Inc. (“PWA”) settled a customer complaint in which the customer alleged that PWA and Ms. Dickes failed to implement certain investment strategy instructions communicated by the client to Ms. Dickes and PWA. Ms. Dickes did not participate in the settlement.

There are Recent Customer Complaints with Broker Ivar Jones in Firm Ameritas Investment Company, LLC

November 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ivar Jones (Jones), currently associated with Ameritas Investment Company, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Jones 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 $12,000.00 on June 01, 2022.

Complainant alleges he was mislead in the recommendation to use a third-party manager and in their management of the municipal bond portfolio.

Broker Donald Herndon in Ameriprise Financial Services, LLC Firm Has Customer Complaint

November 17, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on June 02, 2022.

Plaintiffs allege that defendants allowed [REDACTED] variable universal life insurance policy to lapse in June 2021.

There are Recent Customer Complaints with Broker David Chepauskas in Firm Purshe Kaplan Sterling Investments

November 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Chepauskas (Chepauskas), currently associated with Purshe Kaplan Sterling Investments, has at least one disclosable event. These events include one customer complaint, alleging that Chepauskas 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 $110,000.00 on June 01, 2022.

Client alleges the Mass Mutual Whole Life Insurance policy that was recommended was unsuitable.

There are Recent Customer Complaints with Broker Timothy Myers in Firm Usca Securities LLC

November 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Timothy Myers (Myers), currently associated with Usca Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Myers 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 June 01, 2022.

Clients asserted breach of fiduciary duty claim against firm in connection with an investment in an oil and gas partnership in June 2014.

There are Recent Customer Complaints with Broker Alan Johnson in Firm Vanguard Marketing Corporation

November 17, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on June 01, 2022.

Client alleges that the Advisor did not follow her written instructions to have incoming funds remain liquid to use as a down payment on a home and instead reinvested the funds. The activity occurred between November 9, 2021 and June 1, 2022.