Reg BI

There are Recent Customer Complaints with Broker Marybeth Martin in Firm HSBC Securities (usa) INC.

February 12, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Marybeth Martin (Martin), previously associated with HSBC Securities (usa) INC., has at least one disclosable event. These events include one customer complaint, alleging that Martin 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 $100,000.00 on June 21, 2021.

Claimant alleges the financial professional recommended she invest in a reit unsuitable for her investment portfolio.

Broker Kurt Owen in UBS Financial Services INC. Firm Has Customer Complaint

February 12, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on June 24, 2021.

Time Frame: June 18, 2021 \, The client alleges the FA misrepresented that his option would expire worthless as it was actually exercised and there was no action required. The alleged damages were estimated to be in excess of $5,000.00

There are Recent Customer Complaints with Broker Robert Tornincaso in Firm LPL Financial LLC

February 12, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Tornincaso (Tornincaso), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Tornincaso 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 $100,000.00 on June 28, 2021.

Claimant alleges unsuitable investment recommendations and inadequate supervision and due diligence from 01/2014 through 06/2021

There are Recent Customer Complaints with Broker Timothy Harris in Firm Ameriprise Financial Services, INC.

February 12, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Timothy Harris (Harris), previously associated with Ameriprise Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Harris 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 $40,000.00 on June 26, 2021.

Claimants allege unsuitable recommendation of HTI in September 2014.

There are Recent Customer Complaints with Broker Larry Pence in Firm Cetera Advisors LLC

February 12, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on June 22, 2021.

Claimant alleges that the registered representative recommended unsuitable investments.

Broker Christopher Chancellor in Newbridge Securities Corporation Firm Has Customer Complaint

February 11, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Chancellor (Chancellor), currently associated with Newbridge Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Chancellor 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 $125,000.00 on July 01, 2021.

Respondents made unsuitable recommendations to Claimant.

There are Recent Customer Complaints with Broker John Simpson in Firm J.P. Morgan Securities LLC

February 11, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Simpson (Simpson), previously associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Simpson 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 $130,000.00 on July 01, 2021.

Clients alleges that alternative investments were misrepresented.

There are Recent Customer Complaints with Broker Sean Westbrook in Firm Stifel, Nicolaus & Company, Incorporated

February 11, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sean Westbrook (Westbrook), currently associated with Stifel, Nicolaus & Company, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Westbrook 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 $100,000.00 on July 01, 2021.

Claimant alleges the representative recommended alternative investments that were unsuitable.

There are Recent Customer Complaints with Broker Tara Ellis in Firm Nylife Securities LLC

February 11, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Tara Ellis (Ellis), currently associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Ellis 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 $34,106.55 on July 02, 2021.

Regarding the 1035 exchange of two variable universal life insurance policies in April and May of 2021, respectively, the customer subsequently advised the RR that he was concerned and uncomfortable with the surrender charges assessed on the variable universal life policies from the other carrier since the RR advised him this should be resolved.

Broker Kalle Ruga in Ameriprise Financial Services, LLC Firm Has Customer Complaint

February 11, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kalle Ruga (Ruga), currently associated with Ameriprise Financial Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Ruga 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 $20,971.43 on June 29, 2021.

Ruga was a subject of the customer’s complaint against his member firm that asserted the following causes of action: breach of fiduciary duty; unsuitable hold recommendations; negligent misrepresentation; misrepresented nature of investment; failure to supervise; and respondeat superior.