Reg BI

Broker William Humbarger in Nylife Securities LLC Firm Has Customer Complaint

April 23, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Humbarger (Humbarger), previously 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 around February 1999 and March 1999 they were misled into exchanging life insurance policies into Variable Universal Life policies which carried significant surrender charges and were not suitable. Plaintiffs seek compensatory and punitive damages as well as costs and fees.

There are Recent Customer Complaints with Broker Douglas Henrickson in Firm Triad Advisors LLC

April 23, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Douglas Henrickson (Henrickson), previously associated with Triad Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Henrickson 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.

Following suspension of distributions, Claimants now allege, 5-6 years after the fact, that investments they elected to make in 2014/2015 were unsuitable.

Broker Matthew Gurule in Fbl Marketing Services, LLC Firm Has Customer Complaint

April 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Gurule (Gurule), currently associated with Fbl Marketing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Gurule 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 $74,750.00 on December 03, 2020.

The client alleges they never requested to liquidate their assets to transfer to FBLMS. They wanted to move the account assets as is.

There are Recent Customer Complaints with Broker Dean Purdy in Firm Nylife Securities LLC

April 20, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on December 07, 2020.

Customers alleged that they were not informed of the fees associated with the purchase of variable annuities in July and November 2014.

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

April 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Topper (Topper), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Topper 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 $77,941.00 on December 07, 2020.

Clients allege they did not understand the nature of the fixed indexed annuities they bought and failure to follow investment instructions in April 2020.

Broker Brian Lineberger in UBS Financial Services INC. Firm Has Customer Complaint

April 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Lineberger (Lineberger), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Lineberger 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 $163,105.00 on December 08, 2020.

Time Frame: January 13, 2020 to March 27, 2020 \<char_lb_r>\, The Trustees Attorney alleges the FA failed to reduce the equity stake in the account as instructed. He further alleges had the changes been implemented as requested, it would have insulated the client from subsequent downturn by a significant margin.

Broker Lu Ling Li in Transamerica Financial Advisors, LLC Firm Has Customer Complaint

April 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lu Ling Li (Li), currently associated with Transamerica Financial Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Li 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 $54,500.00 on December 04, 2020.

Client alleged that rep misrepresented Jackson National variable annuity sold to him. Client also alleged that the VA was unsuitable. Client also alleged that rep executed excessive trades in his third party managed account.

Broker Jeffrey Lahr in Private Client Services, LLC Firm Has Customer Complaint

April 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Lahr (Lahr), currently associated with Private Client Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lahr 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 December 04, 2020.

The customer alleges 3 investments recommended by the representative were unsuitable for his needs. The 3 investment products were purchased between October 2014 through August 2015.

There are Recent Customer Complaints with Broker Christopher Pullaro in Firm Kalos Capital, INC.

April 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Pullaro (Pullaro), previously associated with Kalos Capital, INC., has at least one disclosable event. These events include one customer complaint, alleging that Pullaro 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 $718,000.00 on December 07, 2020.

Breach of fidciary duty, suitability, over concentration in alternative investments, failure to supervise.

Broker Steven Nelson in Private Client Services, LLC Firm Has Customer Complaint

April 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven Nelson (Nelson), currently associated with Private Client Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Nelson 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 December 04, 2020.

The customer alleges 3 investments recommended by the representative were unsuitable for his needs. The 3 investment products were purchased between October 2014 through August 2015.