Reg BI

Broker Victor Carrizal in Wells Fargo Clearing 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 Victor Carrizal (Carrizal), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Carrizal 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 $37,036.00 on July 26, 2023.

Client alleges unsuitable investment recommendations. Activity dates January 2020 to February 2023.

Broker Gus Mask in Charles Schwab & Co., INC. Firm Has Customer Complaint

July 15, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gus Mask (Mask), currently associated with Charles Schwab & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Mask 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 $150,000.00 on July 27, 2023.

The Statement of Claim alleges the financial professional recommended a complex, alternative investment without regard for the impact it might have on the client.

There are Recent Customer Complaints with Broker Christopher Dukes in Firm Westpark Capital, INC.

July 15, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Dukes (Dukes), currently associated with Westpark Capital, INC., has at least one disclosable event. These events include one customer complaint, alleging that Dukes 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 $25,000.00 on August 02, 2023.

Unsuitability, Breach of fiduciary duty, Negligence and Negligent Misrepresentation, Breach of Contract, Failure to Supervise, and Violation of Reg BI

There are Recent Customer Complaints with Broker Jeffrey Walls in Firm Wells Fargo Clearing Services, LLC

July 15, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Walls (Walls), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Walls 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 $60,000.00 on July 26, 2023.

Trustee complained that the financial advisor sold securities in a discretionary account after having been instructed not to do so. (10/17/2022-8/15/2023)

There are Recent Customer Complaints with Broker Rick Smith in Firm State Farm Vp Management Corp.

July 15, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Rick Smith (Smith), currently associated with State Farm Vp Management Corp., has at least one disclosable event. These events include one customer complaint, alleging that Smith 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 $296.80 on July 26, 2023.

Theft complaint – Customer had an auto policy & his ex-wife called to change the address but not the payment info which was Brad’s credit card.

There are Recent Customer Complaints with Broker Neil Lance in Firm Advanced Advisor Group, LLC

July 15, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Neil Lance (Lance), currently associated with Advanced Advisor Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lance 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 $653,187.00 on July 26, 2023.

Claimant alleges representative recommended they invest in an unsuitable Tenants-In-Common investment in 2007

Broker Craig Emerson in Cetera Advisor Networks LLC Firm Has Customer Complaint

July 15, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Craig Emerson (Emerson), currently associated with Cetera Advisor Networks LLC, has at least one disclosable event. These events include one customer complaint, alleging that Emerson 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 $215,000.00 on July 31, 2023.

Claimants allege breach of fiduciary duty.

Broker Daniel Pikula in Emerson Equity 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 Pikula (Pikula), currently associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Pikula 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 $400,000.00 on July 26, 2023.

Breach of Fiduciary Duty and Negligence,

Broker Matthew Buchsbaum in UBS 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 Matthew Buchsbaum (Buchsbaum), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Buchsbaum recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on July 28, 2023.

Time frame: Early 2018 – September 2019 \, \, Allegations: Claimants allege unsuitability and misrepresentation with respect to recommendations to invest in and hold an options overlay strategy.

Broker Randall Mason in Cetera Advisors LLC Firm Has Customer Complaint

July 15, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint with a damage request of $99,999.00 on July 31, 2023.

Arbitration Statement of Claim alleged the investments Claimant purchased in 2014 were unsuitable given herfinancial situation, investment objectives and risk tolerance. The Claimant further alleges the BD failed to conduct adequate due diligence on the investment programs.