Reg BI

Broker David Glienke in Western International Securities, Inc. Firm Has Customer Complaint

March 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Glienke (Glienke), currently associated with Western International Securities, Inc., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Glienke 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 September 11, 2024.

Customer alleges that an investment recommendation was unsuitable and misleading.

There are Recent Customer Complaints with Broker Federico Lopez juarbe in Firm UBS Financial Services Inc.

March 21, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on September 11, 2024.

Time frame: Unspecified \, \, Allegations: Claimant alleges the recommendation to invest in and hold Puerto Rico closed-end funds was unsuitable, and that their accounts were unsuitably over concentrated in Puerto Rico investments. They also allege that the risks of investing in and concentration in Puerto Rico investments was misrepresented.

There are Recent Customer Complaints with Broker Michael Coyne in Firm First Trust Portfolios L.p.

March 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Coyne (Coyne), currently associated with First Trust Portfolios L.p., has at least 14 disclosable events. These events include 14 customer complaints, alleging that Coyne 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 $125,000.00 on September 12, 2024.

Mr. Coyne is named as a co-respondent in an arbitration filed by customers of an advisor. As it relates to First Trust and Mr. Coyne, the claimants allege First Trust Portfolios and Mr. Coyne worked closely with the advisor in creating the equity-linked notes that the advisor purchased for the claimants’ accounts.

There are Recent Customer Complaints with Broker Ignacio Tejera in Firm Truist Investment Services, Inc.

March 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ignacio Tejera (Tejera), currently associated with Truist Investment Services, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Tejera 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 September 10, 2024.

Client alleges high risk and unsuitable recommendations – Northstar.

Broker Kirk Crossen in Raymond James & Associates, Inc. Firm Has Customer Complaint

March 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kirk Crossen (Crossen), previously associated with Raymond James & Associates, Inc., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Crossen 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 $450,000.00 on September 10, 2024.

ATTORNEY FOR EX-SPOUSE OF FA ALLEGES, INTER ALIA, THAT THE FA MADE UNAUTHORIZED AND UNSUITABLE TRANSACTIONS IN THIER JOINT ACCOUNT 2016-2022

Broker Robert Siracusano in Wells Fargo Advisors Financial Network, LLC Firm Has Customer Complaint

March 21, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on September 11, 2024.

On or about September 2021, claimant alleges that unsuitable recommendations were made to purchase an annuity and mutual funds.

There are Recent Customer Complaints with Broker Paris Lewis in Firm Nylife Securities LLC

March 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Paris Lewis (Lewis), previously associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lewis 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 $150,000.00 on September 10, 2024.

The claimant alleges that beginning in 2019, there were withdrawals from her variable annuity without her knowledge and consent. The claim seeks compensatory damages of approximately $150,000, plus interest, fees, costs, and other damages

There are Recent Customer Complaints with Broker Heath Goldstein in Firm Western International Securities, Inc.

March 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Heath Goldstein (Goldstein), previously associated with Western International Securities, Inc., has at least 7 disclosable events. These events include 7 customer complaints, alleging that Goldstein 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 $40,000.00 on September 11, 2024.

1.) Investment recommendation in GWG L Bonds was unsuitable and misleading\, 2.) Breach of written contract\, 3.) Breach of fiduciary duty to act in best interest\, 4.) Failure to supervise\, 5;) misrepresentatives & omission\, 6.) Negligence and gross negligence\, 7.) Violation of federal securities laws\, 8.) Violation of FINRA Rules\, 9.) Violation of Pennsylvania Securities Act of 1072\, 10.) Violation of regulation best interest

There are Recent Customer Complaints with Broker David Cross in Firm Calton & Associates, Inc.

March 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Cross (Cross), previously associated with Calton & Associates, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Cross 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 $16,835.00 on September 10, 2024.

Client was unhappy with the performance of her accounts.

There are Recent Customer Complaints with Broker Jeffrey Noard in Firm Emerson Equity LLC

March 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Noard (Noard), previously associated with Emerson Equity LLC, has at least 5 disclosable events. These events include 5 customer complaints, alleging that Noard 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 $3,900,000.00 on September 11, 2024.

Claimants allege material misrepresentation and omissions, failure to conduct reasonable due diligence, violation of The 1934 SEC Act, FINRA Rule 3111, negligence and gross negligence, violation of The Wisconsin Securities Act, and violation of Regulation Best Interest with regard to the various purchases of GWG L-Bonds from