Reg BI

There are Recent Customer Complaints with Broker Peter Frederich in Firm Ameriprise Financial Services, LLC

August 1, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Peter Frederich (Frederich), previously associated with Ameriprise Financial Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Frederich 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 $179,000.00 on June 30, 2020.

The clients’ attorney alleged the advisor implemented a managed account portfolio without the clients’ authorization.

There are Recent Customer Complaints with Broker John Phillips in Firm Spartan Capital Securities, LLC

August 1, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Phillips (Phillips), previously associated with Spartan Capital Securities, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Phillips 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 $200,000.00 on June 30, 2020.

Time Frame: July 2014\<char_lb_r>\, Allegations: Unsuitable Investments

Broker Christopher Naugle in Cadaret, Grant & Co., INC. Firm Has Customer Complaint

August 1, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Naugle (Naugle), previously associated with Cadaret, Grant & Co., INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Naugle recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on July 06, 2020.

Claimant alleges that he was misled into retiring early and taking his pension in a lump sum and that the investments made in his managed accounts, opened in November 2014, were not in accordance with his investment objectives.

Broker Kerry Beslin in Nylife Securities LLC Firm Has Customer Complaint

August 1, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kerry Beslin (Beslin), currently associated with Nylife Securities LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Beslin 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 $11,002.00 on June 29, 2020.

The customer alleges the RR never advised him in September 2019 that he would incur a tax obligation when she recommended that he exchange one fund for another in his Mainstay mutual fund account. As a result of the poor recommendation, the customer alleged he incurred an $11,000 additional tax obligation and he is requesting to be made whole for the extra taxes incurred.

There are Recent Customer Complaints with Broker Aaron Gore in Firm LPL Financial LLC

August 1, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Aaron Gore (Gore), currently associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Gore 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 $20,000.00 on July 02, 2020.

Customer alleges that a business development company investment sold to him in 2014 was an unsuitable, high risk, speculative, high commission investment, and he suffered damages of at least $20,000.

Broker David Turetzky in Ameriprise Financial Services, LLC Firm Has Customer Complaint

August 1, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Turetzky (Turetzky), previously associated with Ameriprise Financial Services, LLC, has at least 6 disclosable events. These events include 6 customer complaints, alleging that Turetzky recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on July 02, 2020.

Claimants allege, failure to supervise with respect to Financial Advisor’s management of accounts – July 2014 to December 2016

There are Recent Customer Complaints with Broker Steven Savoy in Firm Oppenheimer & CO. INC.

August 1, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven Savoy (Savoy), previously associated with Oppenheimer & CO. INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Savoy 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 06, 2020.

Allegations of breach of contract, unsuitability, beach of fiduciary duty and professional negligence from approximately 2013 to Sep 2017.

Broker Donald Kiley in Ausdal Financial Partners, INC. Firm Has Customer Complaint

August 1, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Donald Kiley (Kiley), currently associated with Ausdal Financial Partners, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Kiley 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 $1,138,244.00 on June 30, 2020.

Clients allege products sold were unsuitable

There are Recent Customer Complaints with Broker Tim Ridley in Firm Wells Fargo Clearing Services, LLC

August 1, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Tim Ridley (Ridley), previously associated with Wells Fargo Clearing Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Ridley recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on July 06, 2020.

Client complained that Financial Advisor did not do enough due diligence for now defaulted bonds to determine that the bonds he recommended were for issuers of which he specifically does not invest. (6/14/2018-12/13/2018)

Broker Marvin Vick in Commonwealth Financial Network Firm Has Customer Complaint

August 1, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Marvin Vick (Vick), previously associated with Commonwealth Financial Network, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Vick 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 $86,437.42 on June 30, 2020.

Claimant alleges that starting in January 2015, respondent recommended he purchase shares in an unsuitable limited partnership, Vanguard Natural Resources (“VNR”), which caused him to incur $86,437.42 in taxes and penalties in his ROTH IRA.