Reg BI

Broker Yuting Cheng in Wells Fargo Clearing Services, LLC Firm Has Customer Complaint

April 13, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on March 05, 2025.

Claimants allege unsuitable investment recommendations.

Broker Ivan Cen in Cetera Investment Services LLC Firm Has Customer Complaint

April 13, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on March 05, 2025.

Claimants allege unsuitable investment recommendations.

There are Recent Customer Complaints with Broker Nicole Turosky in Firm Osaic Institutions, INC.

April 13, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on March 05, 2025.

Claimant alleges that on January 31st 2024, the FA failed to follow instructions and instead, moved funds into an unsuitable/unauthorized program (cash/bank sweep program).

There are Recent Customer Complaints with Broker Xiangyu Zhang in Firm Wells Fargo Clearing Services, LLC

April 13, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on March 05, 2025.

Claimants allege unsuitable investment recommendations.

Broker Howard Hsieh in Cetera Investment Services LLC Firm Has Customer Complaint

April 13, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on March 05, 2025.

Claimants allege unsuitable investment recommendations.

There are Recent Customer Complaints with Broker Ellen Lau in Firm LPL Financial LLC

April 13, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on March 05, 2025.

Claimants allege unsuitable investment recommendations.

Broker Bruce Theuerkauf in Wells Fargo Clearing Services, LLC Firm Has Customer Complaint

April 13, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bruce Theuerkauf (Theuerkauf), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Theuerkauf 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 $15,616.00 on March 07, 2025.

Clients complain Financial Advisors purchased discounted bonds without authorization, resulting in loss of state income tax benefit. (5/17/2022-3/7/2025)

Broker Greg Waldman in Morgan Stanley Firm Has Customer Complaint

April 13, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on March 05, 2025.

Claimants allege inter alia, unsuitability with respect to concentrated municipal bonds investment – 2018 to 2025

There are Recent Customer Complaints with Broker Jeff Jin in Firm Merrill Lynch, Pierce, Fenner & Smith Incorporated

April 13, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeff Jin (Jin), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Jin recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on March 05, 2025.

Claimants allege unsuitable investment recommendations.

Broker Haiguang Yin in Packerland Brokerage Services, INC. Firm Has Customer Complaint

April 13, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Haiguang Yin (Yin), previously associated with Packerland Brokerage Services, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Yin recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on March 05, 2025.

Claimants allege unsuitable investment recommendations.