Reg BI

Broker Jerald Haerle in Thrivent Investment Management INC. Firm Has Customer Complaint

November 15, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jerald Haerle (Haerle), currently associated with Thrivent Investment Management INC., has at least one disclosable event. These events include one customer complaint, alleging that Haerle 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 $23,548.93 on June 14, 2022.

Client alleged the variable annuity product purchased in June 2022 was presented to her as an investment that would not lose value.

Broker Chad Barancyk in Great Point Capital LLC Firm Has Customer Complaint

November 15, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Chad Barancyk (Barancyk), previously associated with Great Point Capital LLC, has at least 3 disclosable events. These events include 2 customer complaints, one regulatory event, alleging that Barancyk recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on June 15, 2022.

Respondent Barancyk failed to respond to FINRA requests for information.

There are Recent Customer Complaints with Broker Michael Arteca in Firm LPL Enterprise, LLC

November 15, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Arteca (Arteca), currently associated with LPL Enterprise, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Arteca 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 $78,780.00 on June 15, 2022.

Customer Alleges that the rep did not fully disclose surrender charges and all the facts regarding suitability.

There are Recent Customer Complaints with Broker David Escarcega in Firm Center Street Securities, INC.

November 15, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Escarcega (Escarcega), previously associated with Center Street Securities, INC., has at least 4 disclosable events. These events include 4 customer complaints, alleging that Escarcega 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 $383,014.45 on June 13, 2022.

Beginning in 2012 client alleges that registered representative recommended an unsuitable investment and in 2019 recommended the client renew said investment.

Broker Brian Patterson in Equitable Advisors, LLC Firm Has Customer Complaint

November 15, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on June 15, 2022.

The client alleges the RR sold them an unsuitable REIT in 2015.

There are Recent Customer Complaints with Broker David Giegerich in Firm LPL Financial LLC

November 15, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Giegerich (Giegerich), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Giegerich 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 $100,001.00 on June 14, 2022.

Claimant alleges financial adviser recommended investments that were unsuitable. Claimant generally alleges causes of action of suitability, misrepresentation, breach of contract, breach of fiduciary duty, and negligence.

There are Recent Customer Complaints with Broker Kent Scholten in Firm Merrill Lynch, Pierce, Fenner & Smith Incorporated

November 15, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kent Scholten (Scholten), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Scholten recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on June 14, 2022.

The customer alleges failure to follow instructions from February 2022 until April 2022.

Broker Thomas Ren in Cambridge Investment Research, INC. Firm Has Customer Complaint

November 15, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Ren (Ren), currently associated with Cambridge Investment Research, INC., has at least one disclosable event. These events include one customer complaint, alleging that Ren 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 $100,000.00 on June 21, 2022.

Customer alleges lack of suitability and insufficient product due diligence in regards to purchases in alternative investments.

Broker James Toddy in United Planners’ Financial Services of America A Limited Partner Firm Has Customer Complaint

November 15, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Toddy (Toddy), currently associated with United Planners’ Financial Services of America A Limited Partner, has at least one disclosable event. These events include one customer complaint, alleging that Toddy 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 $383,014.45 on June 13, 2022.

Client alleges in 2019 the registered representative recommended an unsuitable transaction.

There are Recent Customer Complaints with Broker James Shawver in Firm Peak Brokerage Services, LLC

November 15, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Shawver (Shawver), previously associated with Peak Brokerage Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Shawver 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 $100,000.01 on June 14, 2022.

Allege investments were not suitable in light of the clients’ age, investment objectives and risk tolerance