Reg BI

There are Recent Customer Complaints with Broker Rodney Boelter in Firm Osaic Wealth, INC.

June 28, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Rodney Boelter (Boelter), currently associated with Osaic Wealth, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Boelter 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 $11,000.00 on April 13, 2020.

The complainant alleges that in 2020, the rep didn’t make transactions within his account as instructed, which caused him to lose money.

Broker Kenneth Ashe in Ameriprise Financial Services, INC. Firm Has Customer Complaint

June 28, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kenneth Ashe (Ashe), previously associated with Ameriprise Financial Services, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Ashe 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 $798,000.00 on April 12, 2020.

The client alleged his advisor misrepresented a variable universal life insurance policy in the Summer 2015 regarding the death benefit payout to be received when the insured reached age 100.

Broker Orin Green in Ameriprise Financial Services, INC. Firm Has Customer Complaint

June 28, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Orin Green (Green), previously associated with Ameriprise Financial Services, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Green 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 $23,804.00 on April 13, 2020.

Client alleges that an investment (Catalyst/Warrington Strategic Program Fund ) was not in the client’s best interest due to its risk and costs.

Broker Michael Walker in Wells Fargo Clearing Services, LLC Firm Has Customer Complaint

June 28, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Walker (Walker), previously associated with Wells Fargo Clearing Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Walker 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 $3,000,000.00 on April 14, 2020.

There are Recent Customer Complaints with Broker Vladislav Madatov in Firm Morgan Stanley

June 28, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on April 14, 2020.

Client complained that the financial advisor failed to terminate the advisory accounts as instructed. (3/19/2019-1/27/2020)

There are Recent Customer Complaints with Broker Jody Thompson in Firm Alexander Capital, L.p.

June 28, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jody Thompson (Thompson), previously associated with Alexander Capital, L.p., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Thompson 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 $1,100,000.00 on April 13, 2020.

POA alleges RR exerted undue influence over customer to influence a bequest in her Trust for RR’s children. Date of activity is unknown.

Broker Christopher Dursi in LPL Financial LLC Firm Has Customer Complaint

June 28, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Dursi (Dursi), currently associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Dursi 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 $20,000.00 on April 07, 2020.

ON OCTOBER 11, 2019, CHRIS DURSI MET WITH THE CLIENT TO PURCHASE AN INDEX ANNUITY THROUGH PEOPLE’S SECURITIES, INC. (‘PSI’). IN CONNECTION WITH THE PURCHASE OF THE ANNUITY, THE CLIENT SOLD SHARES OF STOCK HELD AT ANOTHER BROKER-DEALER UNAFFILIATED WITH PSI. THE CLIENT ALLEGED THAT MR. DURSI DID NOT INFORM AND ADVISE HER OF CERTAIN TAX LIABILITIES INCURRED FROM SELLING THE STOCK.

Broker Anthony Lapia in Wells Fargo Clearing Services, LLC Firm Has Customer Complaint

June 28, 2026 | by Staff Attorney

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

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

Arbitration: Claimants allege FA over-concentrated their portfolio in unsuitable investments. \<char_lb_r>\, \<char_lb_r>\, Complaint:Attorney for clients complained that the financial advisor engaged in an unsuitable trading strategy, which did not match their investment objectives. (6/26/2015-11/30/2018)

There are Recent Customer Complaints with Broker James Wagner in Firm LPL Financial LLC

June 28, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Wagner (Wagner), currently associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Wagner 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 $10,000.00 on April 14, 2020.

Client alleges that advisor’s actions caused a delay in settling his deceased father’s acounts. Client alleges that the delay caused him to lose $10,000.00 due to a decrease in account values and the cost incurred in hiring an attorney. Alleged activity dates 2/13/2020 to 4/14/2020.

There are Recent Customer Complaints with Broker Patrick Albrecht in Firm Calton & Associates, INC.

June 28, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Patrick Albrecht (Albrecht), previously associated with Calton & Associates, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Albrecht recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on April 14, 2020.

Failure to conduct adequate Due Diligence, Negligence, Misrepresentation, Breach of Fiduciary Duty.