Reg BI

There are Recent Customer Complaints with Broker Kurt Kechely in Firm Securities America, INC.

July 16, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kurt Kechely (Kechely), previously associated with Securities America, INC., has at least one disclosable event. These events include one customer complaint, alleging that Kechely 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 $50,000.00 on July 21, 2023.

It is alleged that unsuitable recommendations were made and that the Claimants could not understand the investment risks therein.

Broker Marcia Campbell in Securities America, INC. Firm Has Customer Complaint

July 16, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Marcia Campbell (Campbell), previously associated with Securities America, INC., has at least one disclosable event. These events include one customer complaint, alleging that Campbell 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 $50,000.00 on July 21, 2023.

It is alleged that unsuitable recommendations were made and that the Claimants could not understand the investment risks therein.

There are Recent Customer Complaints with Broker Jan Haynes in Firm Integrity Brokerage Services, INC.

July 16, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jan Haynes (Haynes), previously associated with Integrity Brokerage Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Haynes 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 $50,000.00 on July 24, 2023.

Unsuitable investment

Broker Michael Blueweiss in Arete Wealth Management, LLC Firm Has Customer Complaint

July 16, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Blueweiss (Blueweiss), currently associated with Arete Wealth Management, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Blueweiss 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 July 24, 2023.

Client alleges unsuitable investment recommendations in 2021 – 2022.

Broker Timothy Judson in Osaic Wealth, INC. Firm Has Customer Complaint

July 16, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Timothy Judson (Judson), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Judson 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 July 21, 2023.

The claimants allege that recommendations of two products out of many investment recommendations were not in keeping with their investment needs and objectives.

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

July 15, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on August 01, 2023.

The client alleges financial advisor made misrepresentations and unsuitable investment recommendations in June 2020.

Broker Girish Navare in Kestra Investment Services, LLC Firm Has Customer Complaint

July 15, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Girish Navare (Navare), currently associated with Kestra Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Navare 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 July 28, 2023.

Alleged breach of fiduciary duty and negligent management of individual positions and overall investment strategy.

Broker Ryan Derks in Berthel, Fisher & Company Financial Services, INC. Firm Has Customer Complaint

July 15, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ryan Derks (Derks), previously associated with Berthel, Fisher & Company Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Derks 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 $600,000.00 on July 28, 2023.

Unauthorized sale of stock.

Broker Daniel Steele in LPL Financial LLC Firm Has Customer Complaint

July 15, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on July 31, 2023.

The Personal Representative (“Executor”) of a deceased client alleged that, in 2015, certain features of rate-linked Certificate of Deposits (“CDs”) were not disclosed, and further alleges the CDs were not suitable for the purchasers.

Broker Jolly Luthra in Nylife Securities LLC Firm Has Customer Complaint

July 15, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on July 31, 2023.

Plaintiffs allege, among other things, that they were misled into purchasing variable annuities and insurance after liquidating mutual funds at a prior firm. They also allege that the recommended variable annuity purchased in April 2021 was inappropriate for their needs.