Reg BI

Broker Anson Cheong in Cetera Investment Services LLC Firm Has Customer Complaint

May 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Anson Cheong (Cheong), currently associated with Cetera Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Cheong 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 $1,054,759.37 on March 12, 2024.

Plaintiff alleges the proceeds from their investment were not received in their account.

Broker Keith Wells in Equity Services, INC. Firm Has Customer Complaint

May 28, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on March 12, 2024.

Plaintiff alleges purchased variable annuity policy was misrepresentated – actions necessary to preserve and maintain the guaranteed minimum death benefit and guaranteed minimum income benefit provided through the variable annuity.

There are Recent Customer Complaints with Broker Austin Arata in Firm Ameriprise Financial Services, LLC / Kinecta Financial & Insurance Services

May 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Austin Arata (Arata), currently associated with Ameriprise Financial Services, LLC / Kinecta Financial & Insurance Services, has at least one disclosable event. These events include one customer complaint, alleging that Arata 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 $340,000.00 on March 11, 2024.

Claimant alleges representative made unauthorized transactions in his accounts in May 2023.

There are Recent Customer Complaints with Broker Connor Seedall in Firm Dai Securities, LLC

May 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Connor Seedall (Seedall), currently associated with Dai Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Seedall 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 $329,000.00 on March 11, 2024.

Client alleges unsuitable investment recommendations in 2018 and 2019

There are Recent Customer Complaints with Broker Jordan Schmidt in Firm the Leaders Group, INC.

May 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jordan Schmidt (Schmidt), currently associated with the Leaders Group, INC., has at least one disclosable event. These events include one customer complaint, alleging that Schmidt 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 March 12, 2024.

Client invested in a 12% interest bearing note paying 1% per month in June 2021. In January 2023, client renewed the note. In December 2023, CUMF filed for bankruptcy and defaulted on payment.

Broker Matthew Norton in Mcdonald Partners LLC Firm Has Customer Complaint

May 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Norton (Norton), currently associated with Mcdonald Partners LLC, has at least one disclosable event. These events include one customer complaint, alleging that Norton 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 $99,000.00 on March 12, 2024.

Claimant alleges that RR recommended an unsuitable investment in an offering of corporate bonds in 2020 and that reasonable due diligence was not conducted prior to making the offering. Claimant further alleges RR did not disclose, and did not accurately disclose, all material facts in connection with Claimant’s investment in the offering, and that certain guarantees of performance were made.

There are Recent Customer Complaints with Broker Vincenzo Azzinnari in Firm the Leaders Group, INC.

May 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Vincenzo Azzinnari (Azzinnari), currently associated with the Leaders Group, INC., has at least one disclosable event. These events include one customer complaint, alleging that Azzinnari 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 $6,042.57 on March 11, 2024.

The Customer alleged he was misled when he purchased a variable annuity in February 2022 and has requested a refund of the surrender charges incurred.

Broker Sidhant Nanda in Truist Investment Services, INC. Firm Has Customer Complaint

May 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sidhant Nanda (Nanda), previously associated with Truist Investment Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Nanda 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 March 11, 2024.

Customer alleges advisor made poor recommendation to client that resulted in negative financial impact .

There are Recent Customer Complaints with Broker Leo Chien in Firm Cetera Investment Services LLC

May 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Leo Chien (Chien), previously associated with Cetera Investment Services LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Chien 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 $1,054,759.37 on March 12, 2024.

Plaintiff alleges the proceeds from their investment were not received in their account.

There are Recent Customer Complaints with Broker Sandro Olivos in Firm Wells Fargo Clearing Services, LLC

May 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sandro Olivos (Olivos), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Olivos 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 March 12, 2024.

Customer alleges Mr. Olivos misrepresented the risks associated with the investment in NorthStar Financial Services and that the investment recommendations were unsuitable