Reg BI

There are Recent Customer Complaints with Broker Shawn Holbrook in Firm Pnc Investments

August 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Shawn Holbrook (Holbrook), currently associated with Pnc Investments, has at least one disclosable event. These events include one customer complaint, alleging that Holbrook 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 $27,232.38 on September 19, 2022.

Client alleged recommendations was not consistent with her investment objectives.

There are Recent Customer Complaints with Broker Steven Bell in Firm A.g.p. / Alliance Global Partners

August 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven Bell (Bell), currently associated with A.g.p. / Alliance Global Partners, 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 settled customer complaint with a damage request of $27,000.00 on September 30, 2022.

Unsuitable recommendation, negligence, misrepresentation

There are Recent Customer Complaints with Broker John Atkins in Firm Osaic Institutions, INC.

August 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Atkins (Atkins), currently associated with Osaic Institutions, INC., has at least one disclosable event. These events include one customer complaint, alleging that Atkins 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 $44,000.00 on September 29, 2022.

Statement of Claim suggests losses based upon the recommendation of an unsuitable alternative mutual fund that had a risky strategy and was misrepresented by the financial professional.

There are Recent Customer Complaints with Broker Christopher Hartwig in Firm Vanguard Marketing Corporation

August 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Hartwig (Hartwig), previously associated with Vanguard Marketing Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Hartwig 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 $33,960.00 on September 15, 2022.

Client alleges that the advisor did not make her aware that trades placed to replenish her spending fund were made from her Traditional IRA account, resulting in IRS tax liabilities of $33,960.00. The activity dates leading to the allegations were September 25, 2020, and November 13, 2020.

There are Recent Customer Complaints with Broker Jack Burk in Firm Arete Wealth Management, LLC

August 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jack Burk (Burk), currently associated with Arete Wealth Management, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Burk 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 $50,000.00 on October 04, 2022.

Clients allege unsuitable investment recommendations

There are Recent Customer Complaints with Broker Nancy Corrigan in Firm the Strategic Financial Alliance, INC.

August 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nancy Corrigan (Corrigan), currently associated with the Strategic Financial Alliance, INC., has at least one disclosable event. These events include one customer complaint, alleging that Corrigan 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 $50,000.00 on September 14, 2022.

Client claims that recommendation was unsuitable and risks were not fully disclosed. Purchase of investment was 3/27/2019. Arbitration was filed in September 2022.

There are Recent Customer Complaints with Broker Helen Lin in Firm Emerson Equity LLC

August 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Helen Lin (Lin), currently associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lin 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 September 19, 2022.

Negligence; Breach of Fiduciary Duty

There are Recent Customer Complaints with Broker Andy Gitipityapon in Firm LPL Financial LLC

August 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andy Gitipityapon (Gitipityapon), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Gitipityapon 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 $150,000.00 on September 28, 2022.

Negligence

There are Recent Customer Complaints with Broker Alan Feutz in Firm J.P. Morgan Securities LLC

August 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alan Feutz (Feutz), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Feutz 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 $40,673.00 on September 21, 2022.

Customer alleges Contingent Deferred Sales Charge was not disclosed with regard to a mutual fund investment. Activity dates 11.17.21 – 9.16.22.

Broker Christy Earhart in Independent Financial Group, LLC Firm Has Customer Complaint

August 20, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on September 21, 2022.

GWG filed Chapter 11 bankruptcy as a debtor in possession in April 2022. Claimant files this claim against Arque for a number of causes of action including but not limited to breach of fiduciary duty, negligence and violation of various state securities laws and FINRA rules. Respondent denies all allegations in their entirety.