Reg BI

There are Recent Customer Complaints with Broker Eric Ratzel in Firm Merrill Lynch, Pierce, Fenner & Smith Incorporated

July 15, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eric Ratzel (Ratzel), previously associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Ratzel recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on August 01, 2023.

The client alleges financial advisor made misrepresentations and unsuitable investment recommendations in June 2020.

There are Recent Customer Complaints with Broker Terry Hastings in Firm Newbridge Securities Corporation

July 15, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on July 26, 2023.

CLAIMANT CLAIMS LOSS DUE TO MISREPRESENTATIONS AND UNSUITABLE INVESTMENT RECOMMENDATIONS

Broker Girish Navare in Kestra Investment Services, LLC Firm Has Customer Complaint

July 15, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Girish Navare (Navare), currently associated with Kestra Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Navare 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 $100,000.00 on July 28, 2023.

Alleged breach of fiduciary duty and negligent management of individual positions and overall investment strategy.

Broker Ryan Derks in Berthel, Fisher & Company Financial Services, INC. Firm Has Customer Complaint

July 15, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ryan Derks (Derks), previously associated with Berthel, Fisher & Company Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Derks 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 $600,000.00 on July 28, 2023.

Unauthorized sale of stock.

Broker Daniel Steele in LPL Financial LLC Firm Has Customer Complaint

July 15, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on July 31, 2023.

The Personal Representative (“Executor”) of a deceased client alleged that, in 2015, certain features of rate-linked Certificate of Deposits (“CDs”) were not disclosed, and further alleges the CDs were not suitable for the purchasers.

Broker Jolly Luthra in Nylife Securities LLC Firm Has Customer Complaint

July 15, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on July 31, 2023.

Plaintiffs allege, among other things, that they were misled into purchasing variable annuities and insurance after liquidating mutual funds at a prior firm. They also allege that the recommended variable annuity purchased in April 2021 was inappropriate for their needs.

Broker Victor Carrizal in Wells Fargo Clearing Services, LLC Firm Has Customer Complaint

July 15, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Victor Carrizal (Carrizal), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Carrizal 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 $37,036.00 on July 26, 2023.

Client alleges unsuitable investment recommendations. Activity dates January 2020 to February 2023.

Broker Gus Mask in Charles Schwab & Co., INC. Firm Has Customer Complaint

July 15, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gus Mask (Mask), currently associated with Charles Schwab & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Mask 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 July 27, 2023.

The Statement of Claim alleges the financial professional recommended a complex, alternative investment without regard for the impact it might have on the client.

There are Recent Customer Complaints with Broker Christopher Dukes in Firm Westpark Capital, INC.

July 15, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Dukes (Dukes), currently associated with Westpark Capital, INC., has at least one disclosable event. These events include one customer complaint, alleging that Dukes 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 $25,000.00 on August 02, 2023.

Unsuitability, Breach of fiduciary duty, Negligence and Negligent Misrepresentation, Breach of Contract, Failure to Supervise, and Violation of Reg BI

There are Recent Customer Complaints with Broker Jeffrey Walls in Firm Wells Fargo Clearing Services, LLC

July 15, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Walls (Walls), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Walls 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 $60,000.00 on July 26, 2023.

Trustee complained that the financial advisor sold securities in a discretionary account after having been instructed not to do so. (10/17/2022-8/15/2023)