Reg BI

There are Recent Customer Complaints with Broker Richard Baer in Firm Integrity Alliance, LLC.

July 2, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Baer (Baer), currently associated with Integrity Alliance, LLC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Baer 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 $850,000.00 on August 10, 2020.

Unsuitable recommendations, material misrepresentatins, elder abuse

There are Recent Customer Complaints with Broker Dennis Zaderaka in Firm Securities America, INC.

July 2, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dennis Zaderaka (Zaderaka), previously associated with Securities America, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Zaderaka 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 $175,000.00 on August 06, 2020.

Statement of Claim asserts the client was sold numerous high-commission, complex, risky alternative investments, and multiple illiquid investment products.

There are Recent Customer Complaints with Broker Charles Jones in Firm Parkland Securities, LLC

July 1, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Charles Jones (Jones), currently associated with Parkland Securities, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Jones 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 $25,447.00 on August 14, 2020.

Client alleges in November of 2019, RR withdrew funds from her Rollover IRA and was not aware of the tax consequences.

Broker Christopher Landon in Edward Jones Firm Has Customer Complaint

July 1, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Landon (Landon), currently associated with Edward Jones, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Landon 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 $55,079.23 on August 12, 2020.

Client alleges that the Financial Advisor incorrectly informed the client that they could take money out of an inherited IRA to purchase house and then replace said funds w/in 60 days w/o tax consequence causing significant tax bill.

There are Recent Customer Complaints with Broker Thomas Karn in Firm J.P. Morgan Securities LLC

July 1, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Karn (Karn), previously associated with J.P. Morgan Securities LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Karn 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 $41,761.00 on August 11, 2020.

Client alleges suitability regarding mutual fund investment. Activity dates 02/19/2020-02/19/2020.

There are Recent Customer Complaints with Broker Kyle Cunningham in Firm Northwestern Mutual Investment Services, LLC

July 1, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kyle Cunningham (Cunningham), currently associated with Northwestern Mutual Investment Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Cunningham 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 $13,000.00 on August 12, 2020.

Customers allege that in or around April 2019 the representative advised them incorrectly regarding the tax consequences of a 401k rollover and backdoor Roth contributions which resulted in unexpected tax liabilities for the customers.

Broker Deborah Shuster in Cambridge Investment Research, INC. Firm Has Customer Complaint

July 1, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Deborah Shuster (Shuster), previously associated with Cambridge Investment Research, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Shuster 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 $1,000,000.00 on August 13, 2020.

Statement of Claim alleges client was sold alternative, illiquid and complex investment products rather than traditional liquid and well-diversified investment portfolio options.

There are Recent Customer Complaints with Broker William Humbarger in Firm Nylife Securities LLC

July 1, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Humbarger (Humbarger), currently associated with Nylife Securities LLC, has at least 6 disclosable events. These events include 6 customer complaints, alleging that Humbarger recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on August 13, 2020.

Plaintiffs allege that in or about March 2016 they were told that no changes were necessary to their VULs and were not informed that their VUL policies were in jeopardy of lapsing. Plaintiffs seek compensatory and punitive damages as well as costs and fees.

Broker Lisa Jackson in Cetera Wealth Services, LLC Firm Has Customer Complaint

July 1, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lisa Jackson (Jackson), currently associated with Cetera Wealth Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Jackson 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 $145,000.00 on August 18, 2020.

Client alleged the products into which he invested in 2014 were misrepresented and unsuitable.

Broker Lawrence Rosen in Ameriprise Financial Services, LLC Firm Has Customer Complaint

July 1, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lawrence Rosen (Rosen), currently associated with Ameriprise Financial Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Rosen 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 August 11, 2020.

Claimant alleges Respondent made unsuitable recommendations for Claimants’ overall investment strategy. The causes of action are: Negligence, Professional Negligence, Violations of Law, Unsuitable Recommendations, Negligent Supervisions, Breach of Contract, Breach of Fiduciary Duty and Breach of Securities Industry Rules and Regulations.