Reg BI

There are Recent Customer Complaints with Broker Dawn Nelson in Firm Edward Jones

November 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dawn Nelson (Nelson), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Nelson 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 $52,000.00 on May 31, 2022.

The client alleges the financial advisor did not inform her of the potential tax implications of transferring funds to her Edward Jones account. The clients allege the financial advisor’s recommendation to transfer the funds to the Edward Jones account, and the subsequent liquidation of Ameritrade assets and purchase of new assets in the Edward Jones account were not in her best interests. The clients allege the financial advisor and Edward Jones failed to follow instructions to minimize tax implications.

Broker Xinxin Lu in Transamerica Financial Advisors, Inc Firm Has Customer Complaint

November 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Xinxin Lu (Lu), previously associated with Transamerica Financial Advisors, Inc, has at least one disclosable event. These events include one customer complaint, alleging that Lu 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 May 27, 2022.

CLAIMANTS ALLEGE THEY WERE OVERCONCENTRATED IN UNSUITABLE OFF-SHORE INVESTMENTS THAT RESULTED IN LOSSES.

Broker Janice Reid in Nylife Securities LLC Firm Has Customer Complaint

November 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Janice Reid (Reid), currently associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Reid 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 $11,070.51 on June 06, 2022.

Customer alleges that his Variable Annuity was not surrendered in a timely manner and he was misled regarding the surrender value of his annuity. The annuity was purchased on September 16, 2021.

There are Recent Customer Complaints with Broker Carlos Fuhrmeister in Firm Citigroup Global Markets INC.

November 17, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on June 01, 2022.

CLIENT STATED THAT FROM THE BEGINNING OF HER ACCOUNT RELATIONSHIP, IT WAS AGREED THAT HER PORTFOLIO WOULD BE CONSERVATIVE, AND HER INVESTMENT OBJECTIVE “INCOME.” CLIENT ALLEGED HER PORTFOLIO IS AGGRESSIVE AND IS CLEARLY OUTSIDE HER AGREED UPON PROFILE, AND THIS CAUSED HER UNACCEPTABLE LOSSES. CLIENT DEMANDED COMPENSATION. OCCURRENCE DATES: 5/15/2015 – 5/21/2022. LOSSES: UNSPECIFIED.

Broker Kathy Moritz in Nylife Securities LLC Firm Has Customer Complaint

November 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kathy Moritz (Moritz), currently associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Moritz 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 $62,617.98 on June 02, 2022.

The customer expressed concerns regarding the rollover of her 403b funds into a qualified fixed annuity in April 2021. The customer alleged she was advised the rollover of her 403b funds would be into a traditional IRA and that she had no knowledge of an annuity product. She alleged she was unaware she could not allocate funds as desired and the policy had liquidity limitations and could not be surrendered. The customer requested that her premium be returned in full.

Broker Gustavo Velazquez Melendez in Nationwide Planning Associates INC. Firm Has Customer Complaint

November 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gustavo Velazquez Melendez (Velazquez Melendez), currently associated with Nationwide Planning Associates INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Velazquez Melendez 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 $165,000.00 on June 06, 2022.

PERIOD 9/2010 TO 1/2012. Alleges Breach of fid duty, negligence, misrepresentation, nondisclosure, failure to supervise, unsuitable recommendations,and omission of facts.

There are Recent Customer Complaints with Broker Geraldine Polvino in Firm Edward Jones

November 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Geraldine Polvino (Polvino), previously associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Polvino 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 $52,000.00 on May 31, 2022.

The client alleges the financial advisor did not inform her of the potential tax implications of transferring funds to her Edward Jones account. The clients allege the financial advisor’s recommendation to transfer the funds to the Edward Jones account, and the subsequent liquidation of Ameritrade assets and purchase of new assets in the Edward Jones account were not in her best interests. The clients allege the financial advisor and Edward Jones failed to follow instructions to minimize tax implications.

Broker Rochelle Roerig in Pnc Wealth Management LLC Firm Has Customer Complaint

November 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Rochelle Roerig (Roerig), currently associated with Pnc Wealth Management LLC, has at least one disclosable event. These events include one customer complaint, alleging that Roerig 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 $54,755.00 on June 01, 2022.

Client alleges representative’s purchase of bond for his account was inconsistent with his direction.

There are Recent Customer Complaints with Broker Monica Sinha in Firm Northwestern Mutual Investment Services, LLC

November 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Monica Sinha (Sinha), currently associated with Northwestern Mutual Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Sinha 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 $167,074.88 on June 03, 2022.

Customer alleges that in or around September 2021, the Representative recommended an unsuitable investment strategy in their advisory account.

Broker Erin Dickes in Morgan Stanley Firm Has Customer Complaint

November 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Erin Dickes (Dickes), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Dickes 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 $177,659.89 on June 06, 2022.

On September 20, 2022, without admitting any liability and to avoid the time, costs and uncertainties of a litigation, CIBC Private Wealth Advisors, Inc. (“PWA”) settled a customer complaint in which the customer alleged that PWA and Ms. Dickes failed to implement certain investment strategy instructions communicated by the client to Ms. Dickes and PWA. Ms. Dickes did not participate in the settlement.