Reg BI

Broker Chris Volk in Ameritas Investment Company, LLC Firm Has Customer Complaint

April 25, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Chris Volk (Volk), previously associated with Ameritas Investment Company, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Volk 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 $35,000.00 on June 27, 2024.

Civil action in which plaintiff alleges misrepresentation and omission of material information in the sale of a variable life insurance policy.

There are Recent Customer Complaints with Broker Michael Freiman in Firm Morgan Stanley

April 25, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Freiman (Freiman), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Freiman 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 $6,561.10 on June 27, 2024.

Client alleges, inter alia, that her account was not managed in her best interest 2023 – 2024

Broker Gary Sauve in Centaurus Financial, INC. Firm Has Customer Complaint

April 25, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gary Sauve (Sauve), previously associated with Centaurus Financial, INC., has at least 5 disclosable events. These events include 5 customer complaints, alleging that Sauve 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 $150,000.00 on June 28, 2024.

The customers allege that in February 2019, the Registered Representative recommended and misrepresented an unsuitable, high-risk, illiquid investment and breached his fiduciary duty.

Broker Shane Desherlia in Moloney Securities Co., INC. Firm Has Customer Complaint

April 24, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Shane Desherlia (Desherlia), currently associated with Moloney Securities Co., INC., has at least 3 disclosable events. These events include 3 customer complaints, alleging that Desherlia 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 $25,000.00 on July 06, 2024.

Suitability/negligence. 2018-2020.

Broker Tinh Vu in Osaic Wealth, INC. Firm Has Customer Complaint

April 24, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Tinh Vu (Vu), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Vu 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 $176,200.00 on July 05, 2024.

It is alleged that unsuitable investment recommendations were made in purported violation of legal and regulatory duties.

There are Recent Customer Complaints with Broker Tyler Childs in Firm UBS Financial Services INC.

April 24, 2025 | by Staff Attorney

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

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

Time frame: 2021-2023\, Claimant alleges misrepresentation in the handling of options trading strategies for the claimant’s account, along with breach of fiduciary duty and negligence.

Broker Marcial Vargas in Ameriprise Financial Services, LLC Firm Has Customer Complaint

April 24, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on July 04, 2024.

Claimant alleges that from 2018 through 2022, FA breached his fiduciary duty by recommending unsuitable investments and misrepresenting the nature of those investments.

There are Recent Customer Complaints with Broker Hagin Richeson in Firm Corinthian Partners, L.l.c.

April 24, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Hagin Richeson (Richeson), currently associated with Corinthian Partners, L.l.c., has at least 4 disclosable events. These events include 4 customer complaints, alleging that Richeson 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 $100,001.00 on July 08, 2024.

Violations of federal securities laws; breach of contract; common law fraud; breach of fiduciary duty; Negligence and gross negligence;

There are Recent Customer Complaints with Broker Patrick Klenner in Firm Thrivent Investment Management INC.

April 24, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Patrick Klenner (Klenner), currently associated with Thrivent Investment Management INC., has at least one disclosable event. These events include one customer complaint, alleging that Klenner 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 $10,411.52 on July 02, 2024.

Client alleged RR failed to enter variable annuity subaccount transfer as directed in January 2024.

Broker Jason Norton in LPL Financial LLC Firm Has Customer Complaint

April 24, 2025 | by Staff Attorney

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

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

Customer alleges that investments made in 2014 were unsuitable for the customer’s investment objectives and risk tolerance.