Reg BI

There are Recent Customer Complaints with Broker Jeffry Carel in Firm Wells Fargo Clearing Services, LLC

April 23, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffry Carel (Carel), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Carel 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 $137,000.00 on August 18, 2020.

Claimant alleges Registered Representative did not execute correct type of order to sell stocks. Activity date is June 5, 2020.

There are Recent Customer Complaints with Broker William Humbarger in Firm Nylife Securities LLC

April 23, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Humbarger (Humbarger), currently associated with Nylife Securities LLC, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Humbarger recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on August 13, 2020.

Plaintiffs allege that in or about March 2016 they were told that no changes were necessary to their VULs and were not informed that their VUL policies were in jeopardy of lapsing. Plaintiffs seek compensatory and punitive damages as well as costs and fees.

Broker Lawrence Rosen in Ameriprise Financial Services, LLC Firm Has Customer Complaint

April 23, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lawrence Rosen (Rosen), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Rosen 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 $150,000.00 on August 11, 2020.

Claimant alleges Respondent made unsuitable recommendations for Claimants’ overall investment strategy. The causes of action are: Negligence, Professional Negligence, Violations of Law, Unsuitable Recommendations, Negligent Supervisions, Breach of Contract, Breach of Fiduciary Duty and Breach of Securities Industry Rules and Regulations.

Broker Joubin Eshaghian in Equitable Advisors, LLC Firm Has Customer Complaint

April 23, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on August 12, 2020.

Client alleges misrepresentation in the purchase of a variable life insurance policy purchased in 2017.

Broker Thomas Fons in Ameriprise Financial Services, LLC Firm Has Customer Complaint

April 23, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Fons (Fons), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Fons 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 August 14, 2020.

Claimants allege misrepresentation regarding a variable annuity from 2003 to 2017.

There are Recent Customer Complaints with Broker James Arness in Firm Wells Fargo Clearing Services, LLC

April 23, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on August 13, 2020.

Client complained that the financial advisor erroneously advised her that she would achieve a higher rate of income if she delayed turning on an income rider. (12/7/2007-7/8/2020)

Broker Michael Kamperman in Hd Vest Investment Services Firm Has Customer Complaint

April 23, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Kamperman (Kamperman), previously associated with Hd Vest Investment Services, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Kamperman 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 $300,000.00 on August 13, 2020.

Client alleged the trades placed in her account were unsuitable and excessive. Time frame of the alleged activity was 2015 through June 2017.

There are Recent Customer Complaints with Broker John Kuehl in Firm RBC Capital Markets, LLC

April 23, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Kuehl (Kuehl), previously associated with RBC Capital Markets, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kuehl 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 $500,000.00 on August 13, 2020.

Claimant alleges that in 2013 and 2016 his financial advisor switched his accounts from fee-based to commission without his approval.

There are Recent Customer Complaints with Broker Mario Didomenico in Firm Muriel Siebert & Co., LLC

April 23, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mario Didomenico (Didomenico), currently associated with Muriel Siebert & Co., LLC, has at least one disclosable event. These events include one customer complaint, alleging that Didomenico 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 $14,999.00 on August 14, 2020.

Claimants alleged suitability issues which Mr. DiDomenico strongly states were discussed and fully covered.

There are Recent Customer Complaints with Broker David Omura in Firm Commonwealth Financial Network

April 23, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Omura (Omura), currently associated with Commonwealth Financial Network, has at least one disclosable event. These events include one customer complaint, alleging that Omura 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 $72,927.00 on August 13, 2020.

Clients allege that an error which RR acknowledged and agreed to remedy, was, among other things, a violation of Hawaii securities laws.