Reg BI

Broker Benjamin Silberman in Ameriprise Financial Services, LLC Firm Has Customer Complaint

August 14, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Benjamin Silberman (Silberman), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Silberman 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 $60,000.00 on June 25, 2025.

Claimant alleges that she sustained losses because Respondent “twisted” annuity products without sufficient explanation.

Broker Marc Jacobson in Aegis Capital Corp. Firm Has Customer Complaint

August 14, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on June 26, 2025.

Time frame: May 2023. Client alleges poor recommendation, poor advice.

There are Recent Customer Complaints with Broker Steven Trevor in Firm Vanguard Marketing Corporation

August 14, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on June 26, 2025.

The client alleges in April 2021, the representative provided poor advise by recommending the client make multiple trades without knowledge of the cost basis of the shares and the subsequent tax implication. The IRS later informed the client there was a “substantial” tax due because of the trade.

There are Recent Customer Complaints with Broker Charles Jensen in Firm Stifel, Nicolaus & Company, Incorporated

August 14, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Charles Jensen (Jensen), currently associated with Stifel, Nicolaus & Company, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Jensen 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 $149,483.12 on June 25, 2025.

Customer alleges registered representative purchased more options than the customer authorized.

Broker Kevin Schaefer in Wells Fargo Clearing Services, LLC Firm Has Customer Complaint

August 14, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on June 25, 2025.

Claimant alleges that beginning in May 2019, the financial advisor made unsuitable investments.

There are Recent Customer Complaints with Broker Douglas Licari in Firm MML Investors Services, LLC

August 14, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Douglas Licari (Licari), currently associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Licari 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 $200,000.00 on June 24, 2025.

The complainant alleges that in 2013, the rep recommended certain alternative investments, which have since lost money, and which were not good investments.

There are Recent Customer Complaints with Broker Richard Ciraco in Firm J.P. Morgan Securities LLC

August 14, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Ciraco (Ciraco), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Ciraco 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 $450,000.00 on June 26, 2025.

Customer alleges poor advice and unsuitable recommendation regarding 529 and margin accounts. Activity dates 2015 to January 2025.

There are Recent Customer Complaints with Broker John Rabulan in Firm Nylife Securities LLC

August 12, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint on September 06, 2023.

Respondent Rabulan failed to respond to FINRA request for information.

There are Recent Customer Complaints with Broker Johnathan Hagood in Firm Wells Fargo Clearing Services, LLC

August 12, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint on October 03, 2023.

Respondent Hagood failed to respond to FINRA requests for information.

Broker Richard Webb in Park Avenue Securities LLC Firm Has Customer Complaint

August 12, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint on August 15, 2023.

Respondent Webb failed to respond to FINRA requests for information.