Reg BI

Broker Rainer Hohlbein in LPL Financial LLC Firm Has Customer Complaint

May 6, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on May 02, 2024.

Customers allege that an investment made in 2014 was unsuitable for the customers’ investment objectives and risk tolerance.

Broker Michael Gravelyn in Northwestern Mutual Investment Services, LLC Firm Has Customer Complaint

May 5, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Gravelyn (Gravelyn), previously associated with Northwestern Mutual Investment Services, LLC, has at least 12 disclosable events. These events include 11 customer complaints, one regulatory event, alleging that Gravelyn 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 $1,672.46 on May 03, 2024.

Customer alleged they did not sign non-variable life insurance application documents.

Broker Joshua Taffer in AE Financial Services, LLC Firm Has Customer Complaint

May 5, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint on May 03, 2024.

Allegation is that someone other than the client signed on behalf of the client for his fixed annuity application.

There are Recent Customer Complaints with Broker Jay Wells in Firm Securities Service Network, INC.

May 5, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jay Wells (Wells), previously associated with Securities Service Network, INC., has at least one disclosable event. These events include one customer complaint, alleging that Wells 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 $75,000.00 on May 06, 2024.

The customer alleges that two alternative investment recommendations were not suitable for her needs and objectives.

There are Recent Customer Complaints with Broker Kent Herring in Firm Cambridge Investment Research, INC.

May 5, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kent Herring (Herring), currently associated with Cambridge Investment Research, INC., has at least one disclosable event. These events include one customer complaint, alleging that Herring 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 $15,000.00 on May 06, 2024.

Claimant alleges that the Representative recommended an unsuitable investment strategy that included a risky and complex insurance product. Claimant further alleges that features of the product were misrepresented by the Representative.

There are Recent Customer Complaints with Broker Ivan West in Firm American Trust Investment Services, INC.

May 5, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ivan West (West), currently associated with American Trust Investment Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that West 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 May 07, 2024.

Common Law Fraud, Breach of Fiduciary Duty, Failure to Supervise, Negligence

Broker Matthew Haverty in RBC Capital Markets, LLC Firm Has Customer Complaint

May 5, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Haverty (Haverty), currently associated with RBC Capital Markets, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Haverty 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 $750,000.00 on May 06, 2024.

Alleged overconcentration and unsuitability of international / emerging markets stock investments

Broker Robbyn Gayer in UBS Financial Services INC. Firm Has Customer Complaint

May 5, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robbyn Gayer (Gayer), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Gayer 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 $20,230.42 on May 06, 2024.

Time Frame: April 23rd, 2024\, \, What were the allegations against the individual? The Trustee alleges that the commissions were not disclosed and were excessive considering the fact that they paid their fee in the fee based account prior.

Broker Brian Wurdemann in RBC Capital Markets, LLC Firm Has Customer Complaint

May 5, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint on May 03, 2024.

Wurdemann engaged in dishonest or unethical practices in the securities business. Wurdemann is the subject of an order of a self-regulatory organization expelling him from a self-regulatory organization.

There are Recent Customer Complaints with Broker Tyson Allred in Firm LPL Financial LLC

May 5, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Tyson Allred (Allred), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Allred 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 $1,529,600.00 on May 05, 2024.

Customers allege rep made specific assurances that the investments chosen for the customers protected principal and a guaranteed return of 3.25% after two years.