Reg BI

Broker Alan Haenel in Kovack Securities INC. Firm Has Customer Complaint

February 26, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alan Haenel (Haenel), previously associated with Kovack Securities INC., has at least one disclosable event. These events include one customer complaint, alleging that Haenel 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 $99,999.00 on March 17, 2021.

Claimant alleges breach of fiduciary duty, negligence, and breach of contract pertaining to the purchase, in Nov. 2017, of GPB Automotive Portfolio LP, a DPP.

Broker Stephen Hall in UBS Financial Services INC. Firm Has Customer Complaint

February 26, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 19, 2021.

Time Frame: August 25, 2020\, \, What were the allegations against the individual? \, \, The client alleges unauthorized trading. The alleged damages are estimated to be in excess of $5,000.00.

Broker Kyle Flynn in Cetera Wealth Services, LLC Firm Has Customer Complaint

February 25, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kyle Flynn (Flynn), currently associated with Cetera Wealth Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Flynn 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 $5,000.00 on March 19, 2021.

Client alleges he incurred a large tax bill as a result of rr recommending an unsuitable backdoor roth conversion in July 2020.

Broker Geremy Connor in LPL Financial LLC Firm Has Customer Complaint

February 25, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Geremy Connor (Connor), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Connor 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 $78,000.00 on March 25, 2021.

Claimants allege their financial professionals recommended they invest in two Business Development Companies that were unsuitable for their financial portfolio.

There are Recent Customer Complaints with Broker Adam Fenster in Firm Oneamerica Securities, INC.

February 25, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 23, 2021.

The complainant alleges that in March 2015, the representative recommended that her husband roll over his 401(k) into a Fixed Annuity. The complainant believes the Fixed Annuity was misrepresented, and was not a suitable investment, because of her husband’s health.

Broker Brian Henning in Key Investment Services LLC Firm Has Customer Complaint

February 25, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Henning (Henning), currently associated with Key Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Henning 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 $5,706.33 on March 25, 2021.

Client faxed letter to carrier alleging RR misrepresented features of the Jackson National variable annuity purchased 3/16/21 in the amount of $250,000.00 and is requesting return of premium.

There are Recent Customer Complaints with Broker Robert Fross in Firm LPL Financial LLC

February 25, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Fross (Fross), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Fross 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 March 20, 2021.

Claimant alleges unsuitability in connection with a reit purchase made over 12 years ago at sii investments. Activity period – 2008 – 2011.

There are Recent Customer Complaints with Broker Henry Marin in Firm Morgan Stanley

February 25, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 25, 2021.

Customer alleges unauthorized trading on March 23, 2021

There are Recent Customer Complaints with Broker Donald Braun in Firm Transamerica Financial Advisors, LLC

February 25, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Donald Braun (Braun), currently associated with Transamerica Financial Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Braun 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 $7,507.60 on March 23, 2021.

Claimants allege that rep failed to complete the funding of their managed account as instructed

Broker Loann Thompson in Nylife Securities LLC Firm Has Customer Complaint

February 25, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 23, 2021.

The customer alleges the variable annuity she purchased in or around February 2018 was not in line with her stated financial objectives. Specifically, the customer alleges she communicated the need for liquidity and now faces early withdrawal penalties from the IRS.