Reg BI

There are Recent Customer Complaints with Broker Unbo Chung in Firm Arete Wealth Management, LLC

February 4, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on November 18, 2024.

Clients allege sale of unsuitable investments.

Broker Richard Kruithoff in Nylife Securities LLC Firm Has Customer Complaint

February 4, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on November 25, 2024.

Plaintiffs allege that defendants collectively conspired and participated in a fraudulent scheme that attempted to minimize tax liability through a charitable planning trust strategy, which involving establishing various trusts and purchasing certain whole life insurance policies

There are Recent Customer Complaints with Broker Edward Munoz in Firm LPL Financial LLC

February 4, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Edward Munoz (Munoz), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Munoz 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 $1,000,000.00 on December 27, 2024.

Customer alleges poor performance and unauthorized trading.

Broker Catherine Bearce in Nobles & Richards, Inc. Firm Has Customer Complaint

February 4, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Catherine Bearce (Bearce), currently associated with Nobles & Richards, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Bearce 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 $50,000.00 on December 04, 2024.

Claimant alleges the rr recommended unsuitable oil & gas investments

Broker Andrew Krieger in Raymond James Financial Services, Inc. Firm Has Customer Complaint

February 4, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andrew Krieger (Krieger), previously associated with Raymond James Financial Services, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Krieger 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 $90,000.00 on December 30, 2024.

Claimant alleges fa failed to invest the cash in her rollover ira. Allegation activity dates: 11/25/2014 – 02/01/2021.

There are Recent Customer Complaints with Broker Megurditch Patatian Formerly Associated with Supreme Alliance LLC

February 4, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Megurditch Patatian (Patatian), previously associated with Supreme Alliance LLC, has at least 11 disclosable events. These events include 11 customer complaints, alleging that Patatian 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 $5,000.00 on November 15, 2024.

Customer alleges that an investment recommendation was unsuitable and misleading. Investments purchased from 2013 to 2014.

Broker David Gibbs in J. Alden Associates, Inc. Firm Has Customer Complaint

February 4, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Gibbs (Gibbs), currently associated with J. Alden Associates, Inc., has at least 2 disclosable events. These events include one customer complaint, one tax lien, alleging that Gibbs 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 $93,560.00 on December 03, 2024.

The complainant alleges that in and/around late 2020, his registered representative, and the firm churned two of his variable universal life (vul) policies, which were issued on/or about april 5, 2012, and september 5, 2012, by taking out loans to fund a new vul policy. The complainant asserts a number of allegations against the firm relating to the vul policies, including a claim for damages.

There are Recent Customer Complaints with Broker Jack Thacker in Firm Realta Equities, Inc.

February 4, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jack Thacker (Thacker), previously associated with Realta Equities, Inc., has at least 19 disclosable events. These events include 19 customer complaints, alleging that Thacker 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 December 02, 2024.

Client alleges unsuitable investment recommendation.

There are Recent Customer Complaints with Broker Sean Mccann in Firm Nylife Securities LLC

February 4, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sean Mccann (Mccann), currently associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mccann 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 $55,000.00 on November 04, 2024.

The customer alleges he was not advised to reallocate his variable universal insurance policy purchased in october 1999 from a money market account he placed it in during a market downturn and that now his policy has lapsed. The customer has requested a refund of premiums paid.

Broker Chuck Roberts in Stifel, Nicolaus & Company, Incorporated Firm Has Customer Complaint

February 4, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Chuck Roberts (Roberts), currently associated with Stifel, Nicolaus & Company, Incorporated, has at least 18 disclosable events. These events include 18 customer complaints, alleging that Roberts 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 $5,000,000.00 on December 05, 2024.

Claimant alleges breach of fiduciary duty, negligence, fraud, breach of contract, and violation of sections 10(b) and 20(a) of the securities exchange act and rule 10b-5.