Reg BI

There are Recent Customer Complaints with Broker Dana Zimmerman in Firm Nylife Securities LLC

July 7, 2025 | by Staff Attorney

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

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

Customer alleges the Variable Annuities purchased between October 2021- December 2021 along with the transfer of ETF equities negatively impacted the customer and did not consider her needs in retirement.

There are Recent Customer Complaints with Broker Luis Grullon in Firm J.P. Morgan Securities LLC

July 7, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Luis Grullon (Grullon), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Grullon 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 $17,254.00 on September 27, 2023.

Customer alleges unauthorized trading regarding managed account investment. Activity dates 9.14.23 to 9.27.23.

Broker Fei Wang in Cetera Investment Services LLC Firm Has Customer Complaint

July 7, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Fei Wang (Wang), currently associated with Cetera Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Wang 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 $75,000.00 on September 26, 2023.

Former client alleges sales practice violations including breach of fiduciary duty, misrepresentation, and failure to disclose. Client statement of claim wrongly asserts that representative solicited the sales at issue.

There are Recent Customer Complaints with Broker Abraham Barrera in Firm Wealth Enhancement Brokerage Services, LLC

July 7, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Abraham Barrera (Barrera), currently associated with Wealth Enhancement Brokerage Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Barrera 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 $75,000.00 on September 26, 2023.

Former client alleges sales practice violations including breach of fiduciary duty, misrepresentation, and failure to disclose. Though not named as a respondent and not mentioned by name in the statement of claim, representative was the selling agent on the variable annuity contracts at issue.

Broker Yee Chan in Td Ameritrade, INC. Firm Has Customer Complaint

July 7, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Yee Chan (Chan), previously associated with Td Ameritrade, INC., has at least one disclosable event. These events include one customer complaint, alleging that Chan 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 $320,000.00 on September 26, 2023.

The client alleges in May 2023, the representative contacted the client and improperly solicited him to resume activities in the TD Ameritrade account.

Broker Nicholas Carter in Cetera Advisor Networks LLC Firm Has Customer Complaint

July 7, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nicholas Carter (Carter), currently associated with Cetera Advisor Networks LLC, has at least one disclosable event. These events include one customer complaint, alleging that Carter 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 $550,000.00 on September 26, 2023.

Claimant alleges, inter alia, breach of fiduciary duty with respect to the lack of detection of the alleged outside fraud perpetuated against the client.

Broker Gina Francisco in LPL Financial LLC Firm Has Customer Complaint

July 7, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gina Francisco (Francisco), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Francisco 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 $75,000.00 on September 22, 2023.

Customer alleges advisor made an unsuitable recommendation of an alternative investment in February 2013.

There are Recent Customer Complaints with Broker Ernesto Chavez in Firm Emerson Equity LLC

July 7, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on September 22, 2023.

Breach of Fiduciary Duty, Negligent Misrepresentation and Breach of Contract in connection with the sale of securities.

There are Recent Customer Complaints with Broker Carlo Freese in Firm Charles Schwab & Co., INC.

July 7, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Carlo Freese (Freese), currently associated with Charles Schwab & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Freese 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 $24,776.31 on September 22, 2023.

Client alleges representative did not follow specific investment instructions provided in June 2023

There are Recent Customer Complaints with Broker Anthony Taylor in Firm Nylife Securities LLC

July 7, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on September 22, 2023.

The Customer alleges they received inaccurate information related to the charges associated with their mutual fund account, which resulted in unanticipated withdrawal charges.