Reg BI

Broker Daniel Clouse in Wells Fargo Clearing Services, LLC Firm Has Customer Complaint

November 5, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on October 07, 2022.

Customer complained that an order to sell securities was not executed resulting in losses. (10/4/2022-10/7/2022)

Broker Jeffrey Shanine in Osaic Wealth, INC. Firm Has Customer Complaint

November 5, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Shanine (Shanine), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Shanine 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 $5,000.00 on September 12, 2022.

Client alleges he did not sign a form granting financial professional discretionary authority, and thus any trades executed were unauthorized.

Broker Graham Jepsen in LPL Financial LLC Firm Has Customer Complaint

November 5, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Graham Jepsen (Jepsen), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Jepsen 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 $35,000.00 on September 13, 2022.

Clients allege options were not properly established causing an increase in the expected captial gains.

There are Recent Customer Complaints with Broker Noe Lumbreras in Firm Allstate Financial Services, LLC

November 5, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Noe Lumbreras (Lumbreras), currently associated with Allstate Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lumbreras 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 $13,500.00 on October 10, 2022.

Customer’s alleged the RR incorrectly advised that there would be no sales charges at the time they redeemed their A shares that were previously purchased at NAV.

Broker Brittany Slater Gautreau in American Trust Investment Services, INC. Firm Has Customer Complaint

November 5, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brittany Slater Gautreau (Slater Gautreau), previously associated with American Trust Investment Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Slater Gautreau 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 October 05, 2022.

Breach of Contract; Violation of Washington State securities statutes; Breach of Fiduciary Duty; Suitability

There are Recent Customer Complaints with Broker Wayne Rector in Firm Nylife Securities LLC

November 5, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on October 07, 2022.

Customer alleged that she was misled when she purchase a variable annuity in May 2022. She alleges that she though she was just transferring her share from her deceased fathers account. Customer seeks release from the variable annuity without penalty.

There are Recent Customer Complaints with Broker Conrad Coggeshall in Firm Packerland Brokerage Services, INC.

November 5, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Conrad Coggeshall (Coggeshall), previously associated with Packerland Brokerage Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Coggeshall 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 $1,000,000.00 on October 07, 2022.

This is related to an already know and previously reported issue with Coggeshall. 2005-2017. Omissions of material information, dishonest and unethical practices, unsuitable recommendations, negligent behavior

There are Recent Customer Complaints with Broker John Coleman in Firm Janney Montgomery Scott LLC

November 5, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on October 05, 2022.

Client alleged that the Advisor invested the client’s funds in the stock market without the client’s authorization. Allegation Time Period: September 2021 to October 2022

There are Recent Customer Complaints with Broker James Flower in Firm Spartan Capital Securities, LLC

November 5, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a award / judgment customer complaint with a damage request of $10,900,000.00 on October 10, 2022.

James Flower was a subject of the customer’s complaint against his member firm that asserted the following causes of action: unsuitability, breach of fiduciary duty, breach of contract, negligence, unjust enrichment, strict liability, and failure to supervise.

Broker Eric Baron in Network 1 Financial Securities INC. Firm Has Customer Complaint

November 5, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eric Baron (Baron), previously associated with Network 1 Financial Securities INC., has at least one disclosable event. These events include one customer complaint, alleging that Baron recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a award / judgment customer complaint with a damage request of $10,900,000.00 on October 10, 2022.

Eric Baron was a subject of the customer’s complaint against his member firm that asserted the following causes of action: unsuitability, breach of fiduciary duty, breach of contract, negligence, unjust enrichment, strict liability, and failure to supervise.