Reg BI

There are Recent Customer Complaints with Broker Bruce Helmer in Firm LPL Financial LLC / Wealth Enhancement Brokerage Services, LLC

March 13, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on October 08, 2024.

The customer alleged unauthorized activation of annuity feature.

Broker Chin yu Hsieh in Transamerica Financial Advisors, LLC Firm Has Customer Complaint

March 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Chin yu Hsieh (Hsieh), currently associated with Transamerica Financial Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hsieh 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 $65,000.00 on October 14, 2024.

Customer alleges that representative requested unauthorized trades in her account in August 2024.

Broker James Turpin in Usa Financial Securities Corporation Firm Has Customer Complaint

March 12, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint on October 11, 2024.

Respondent Turpin failed to respond to FINRA requests for information.

There are Recent Customer Complaints with Broker Kyle Lindner in Firm State Farm Vp Management Corp.

March 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kyle Lindner (Lindner), previously associated with State Farm Vp Management Corp., has at least one disclosable event. These events include one customer complaint, alleging that Lindner 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 $142,000.00 on October 10, 2024.

Customer is alleging that her Agent recommended she speak with another of his clients who was presenting an investment opportunity that the Agent themselves had participated in.

There are Recent Customer Complaints with Broker Raymond Arroyo in Firm Vanguard Marketing Corporation

March 12, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on October 14, 2024.

CLIENTS ALLEGED THEY WERE NOT INFORMED THAT THEIR SHARES WOULD BE SOLD AT A LOSS, AS WELL AS, THEIR INSTRUCTIONS TO NOT INVEST CERTAIN FUNDS WERE NOT FOLLOWED RESULTING IN A LOSS.

Broker Joseph Ciura in Insigneo Securities, LLC Firm Has Customer Complaint

March 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Ciura (Ciura), currently associated with Insigneo Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Ciura 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 $100,000.00 on October 10, 2024.

Claimants alleging misrepresentation and unsuitability related to a recommendation of an offshore fund.

Broker Adam Brunin in Sigma Financial Corporation Firm Has Customer Complaint

March 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Adam Brunin (Brunin), previously associated with Sigma Financial Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Brunin 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 $210,000.00 on October 14, 2024.

The client feels that their accounts had a concentration in equities, which posed significant risk to their portfolio, particularly given their conservative investment objectives. They feel that market timing strategies were employed which were inappropriate for their goals. They are seeking resolution in the amount of $210,000 for this issue.

Broker John Suckey in Park Avenue Securities LLC Firm Has Customer Complaint

March 12, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on October 14, 2024.

Client signed an affidavit of forgery alleging the signature on some of the fixed life insurance policy application/documents dated 10/25/21, were forged and not authorized by him.

There are Recent Customer Complaints with Broker Justin Connors in Firm Ifp Securities, LLC

March 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Justin Connors (Connors), currently associated with Ifp Securities, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Connors 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 $250,000.00 on October 14, 2024.

Respondent promoted GWG as carrying minimal risk and materially \, misrepresented the actual risks of these investments including, but not limited to: \, the strength of the underlying collateral; the risk of loss of principal; and that \, investors such as Claimants were not being properly compensated for investing in \, high-risk debt securities in exchange for just a limited upside return.

Broker Jack Mcbride in Newbridge Securities Corporation Firm Has Customer Complaint

March 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jack Mcbride (Mcbride), previously associated with Newbridge Securities Corporation, has at least 2 disclosable events. These events include one customer complaint, one tax lien, alleging that Mcbride 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 $400,000.00 on October 11, 2024.

NEGLIGENCE, BREACH OF FIDUCIARY DUTY, AND NEGLIGENT SUPERVISION