Reg BI

Broker David Loesch in Newedge Securities, LLC Firm Has Customer Complaint

April 11, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Loesch (Loesch), currently associated with Newedge Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Loesch 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 $179,000.00 on April 04, 2025.

Client alleges that the use of margin to purchase municipal bonds was not explained and should have been discontinued when interest rates began to rise in 2022

There are Recent Customer Complaints with Broker Karen Briggs in Firm LPL Financial LLC

April 11, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Karen Briggs (Briggs), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Briggs 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 $259,000.00 on March 13, 2025.

Customer alleges that an investment made in 2019 was unsuitable for the customer’s investment objectives and risk tolerance.

Broker Jay Spieler in Oppenheimer & Co. Inc. Firm Has Customer Complaint

April 11, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jay Spieler (Spieler), currently associated with Oppenheimer & Co. Inc., has at least one disclosable event. These events include one customer complaint, alleging that Spieler 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 March 14, 2025.

Claimant alleges she suffered losses because of an ill-timed liquidation of an investment and alleges claims for breach of fiduciary duty, fraud and negligence. From 11/2022 – 12/2022

There are Recent Customer Complaints with Broker John Engler in Firm Ameriprise Financial Services, LLC

April 11, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Engler (Engler), previously associated with Ameriprise Financial Services, LLC, has at least 3 disclosable events. These events include one customer complaint, 2 regulatory events, alleging that Engler recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on March 20, 2025.

Respondent Engler 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.

There are Recent Customer Complaints with Broker Yvonne Redmond in Firm Equitable Advisors, LLC

April 11, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Yvonne Redmond (Redmond), currently associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Redmond 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 $68,300.00 on March 17, 2025.

Customer alleges issues with investment disclosures at time of sale in 2013.

There are Recent Customer Complaints with Broker Luke Brooks in Firm U.s. Bancorp Investments, Inc.

April 10, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Luke Brooks (Brooks), previously associated with U.s. Bancorp Investments, Inc., has at least one disclosable event. These events include one regulatory event, alleging that Brooks recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on July 31, 2024.

Respondent Brooks failed to respond to FINRA requests for information.

There are Recent Customer Complaints with Broker Iam Aguilar in Firm Fidelity Brokerage Services LLC

April 10, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint on July 30, 2024.

Respondent Aguilar failed to respond to FINRA requests for information.

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.