Reg BI

There are Recent Customer Complaints with Broker Jill Goldman in Firm Kcd Financial, INC.

May 2, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on May 23, 2024.

Jill Goldman was alleged to have sold a security that subsequently dissolved.

There are Recent Customer Complaints with Broker Eric Dupre in Firm Ameriprise Financial Services, LLC

May 2, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eric Dupre (Dupre), previously associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Dupre 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 $3,011,476.00 on May 23, 2024.

Claimants allege that former advisor Dupre recommend that they invest in a ‘cryptocurrency opportunity’. However, it appears that Dupre did not invest the Claimants’ funds, but instead misappropriated the funds. Claimants allege that Dupre stole more than $2.6 million dollars from them.

Broker Darrell Delphen in Independent Financial Group, LLC Firm Has Customer Complaint

May 2, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Darrell Delphen (Delphen), currently associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Delphen 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 $59,000.00 on May 24, 2024.

Alleges investment was not suitable

Broker Stephen Nitz in Steward Partners Investment Solutions, LLC Firm Has Customer Complaint

May 2, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stephen Nitz (Nitz), currently associated with Steward Partners Investment Solutions, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Nitz 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 $19,164.54 on May 21, 2024.

According to the former BD, the clients alleged the account did not perform well and fees were excessive.

Broker Harold Puhl in Cetera Advisor Networks LLC Firm Has Customer Complaint

May 2, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Harold Puhl (Puhl), currently associated with Cetera Advisor Networks LLC, has at least one disclosable event. These events include one customer complaint, alleging that Puhl 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 May 24, 2024.

Claimant alleges they were recommended unsuitable investments.

There are Recent Customer Complaints with Broker Rita Pollard in Firm Bankers Life Securities, INC.

May 1, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Rita Pollard (Pollard), currently associated with Bankers Life Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Pollard 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 $6,177.42 on June 03, 2024.

Bankers Life Securities, Inc. (BLS) received a written email complaint from a client on June 3, 2024. The firm’s review show that the client made three investments; a liquidation of retirement funds to purchase a Guaranteed Lifetime Income Annuity (GLIA), issued by the firm’s insurance affiliate BLC, a transfer of funds from a bank certificate of deposit (CD) to purchase a Flexible Premium Bonus Index Annuity (FPBIA) issued by BLC, and a rollover of retirement funds to accounts with BLS and Bankers Life Advisory Services, Inc. (BLAS), the firm’s Registered Investment Advisor (RIA) affiliate. In the complaint, the client requested a full return of deposited funds. The client alleged the annuities issued by BLC lacked the same liquidity as their CD, they were not informed of the surrender penalty or withdrawal limits and the purchase was not in their best interest. Additionally, the client alleged that the recommendation to roll the client’s pension funds into a managed BLAS Roth IRA account resulted in higher Medicare premiums. Both BLC and BLS’ review determined the transactions were suitable and all material terms were disclosed to the client. As an accommodation, BLC is permitting the client to surrender one annuity penalty free. While the BLC annuity is not a security, and was issued by BLC, the firm is reporting this complaint because the source of funding for one of the annuities came from the liquidation of securities recommended by a financial representative of the firm, and the client made allegations related to a securities account held with BLAS.

Broker Tyler Schultz in LPL Financial LLC Firm Has Customer Complaint

May 1, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Tyler Schultz (Schultz), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Schultz 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 $46,862.57 on May 28, 2024.

Claimant alleges representative recommended unsuitable investments in her 401(k) plan account during the time period 2021-2022.

There are Recent Customer Complaints with Broker Randall Duggan in Firm Moloney Securities Co., INC.

May 1, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Randall Duggan (Duggan), currently associated with Moloney Securities Co., INC., has at least 4 disclosable events. These events include 4 customer complaints, alleging that Duggan 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 $475,000.00 on May 29, 2024.

Suitability/negligence. 2020-2021

There are Recent Customer Complaints with Broker Aaron Bell in Firm Northwestern Mutual Investment Services, LLC

May 1, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Aaron Bell (Bell), currently associated with Northwestern Mutual Investment Services, 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 $124,000.00 on June 03, 2024.

FINRA arbitration alleging representative recommended a speculative stock and under management of representative and NMIS the customer’s account went from being relatively diversified to highly concentrated in just two speculative stocks and sustained financial losses.

There are Recent Customer Complaints with Broker Eric Johnson in Firm Truist Investment Services, INC.

May 1, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eric Johnson (Johnson), currently associated with Truist Investment Services, INC., 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 pending customer complaint with a damage request of $8,000.00 on June 03, 2024.

Customer emailed instructions to invest funds. Advisor did not act upon emailed trade instructions. Client indicated the failure to invest the funds as requested resulted in $8,000 loss.