Reg BI

Broker Brian Chicas in Nylife Securities LLC Firm Has Customer Complaint

April 10, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint on August 01, 2024.

Respondent Chicas failed to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA request to provide information concerning the status of compliance.

Broker Francisco Escalera in Edward Jones Firm Has Customer Complaint

April 10, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on August 01, 2024.

The client alleges unsuitable investments from December 2020 through May 2022.

There are Recent Customer Complaints with Broker Seth Gansman in Firm Ameriprise Financial Services, LLC

April 10, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Seth Gansman (Gansman), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Gansman 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 $500,000.00 on July 31, 2024.

Claimants allege that their retirement funds were mismanaged, and they were improperly recommended a margin loan and a line of credit.

Broker Bryce Hamilton in LPL Financial LLC Firm Has Customer Complaint

April 10, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bryce Hamilton (Hamilton), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hamilton 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 $300,000.00 on July 30, 2024.

Customer alleges representative recommended unsuitable investments in 2021.

Broker Hiroshi Mizutani in Western International Securities, Inc. Firm Has Customer Complaint

April 10, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Hiroshi Mizutani (Mizutani), currently associated with Western International Securities, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Mizutani 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 $200,000.00 on July 30, 2024.

Customer alleges that investment recommendation was unsuitable and misleading.

Broker Mark Upchurch in Centaurus Financial, Inc. Firm Has Customer Complaint

April 10, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Upchurch (Upchurch), previously associated with Centaurus Financial, Inc., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Upchurch 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 $500,000.00 on July 30, 2024.

The customers allege that the Registered Representative recommended unsuitable, high-risk, and illiquid investments and breached his fiduciary duty. No specific dates for the alleged activity were identified in the Statement of Claim.

Broker Aaron Wilkinson in Edward Jones Firm Has Customer Complaint

April 10, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Aaron Wilkinson (Wilkinson), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Wilkinson 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 $173,000.00 on August 02, 2024.

The clients allege the financial advisor failed to follow instructions and did not invest the cash in their accounts.

There are Recent Customer Complaints with Broker Thomas Jenkins in Firm UBS Financial Services Inc.

April 10, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Jenkins (Jenkins), currently associated with UBS Financial Services Inc., has at least one disclosable event. These events include one customer complaint, alleging that Jenkins 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 $1,000,000.00 on July 30, 2024.

Time frame: 2022-2023\, Claimants allege negligence and breach of fiduciary duty by the purported failure of the advisor to timely follow Claimant’s instructions to timely transfer Claimants’ assets to certain trusts, allegedly resulting in tax liabilities.

There are Recent Customer Complaints with Broker Gaetano Magarelli in Firm Newbridge Securities Corporation

April 10, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gaetano Magarelli (Magarelli), previously associated with Newbridge Securities Corporation, has at least one disclosable event. These events include one regulatory event, alleging that Magarelli recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on August 01, 2024.

Respondent Magarelli failed to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA request to provide information concerning the status of compliance.

Broker Gaylord Rohloff in Western International Securities, Inc. Firm Has Customer Complaint

April 10, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gaylord Rohloff (Rohloff), currently associated with Western International Securities, Inc., has at least 3 disclosable events. These events include 3 customer complaints, alleging that Rohloff 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 $350,000.00 on July 31, 2024.

Client claims investment was unsuitable.