Reg BI

There are Recent Customer Complaints with Broker Daniel Lerner in Firm David Lerner Associates, INC.

October 29, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint with a damage request of $225,000.00 on September 22, 2025.

Unsuitability, misrepresentation and omission, breach of fiduciary duty – June 9, 2017 the date of the first purchase of SOAEX to September 22, 2025 – the date the SOC was received.

There are Recent Customer Complaints with Broker Lance Hubeny in Firm Ameriprise Financial Services, LLC

October 29, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on September 24, 2025.

Plaintiffs allege that Defendants Ameriprise and Hubeny should have kept them informed of any attempted changed to Ms. Miesemer's annuity account and permitted beneficiary changes despite alleged knowledge of competency and undue influence issues.

There are Recent Customer Complaints with Broker Yao Tang in Firm Merrill Lynch, Pierce, Fenner & Smith Incorporated

October 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Yao Tang (Tang), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Tang recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on August 30, 2025.

Customer alleges that the Registered Representative failed to follow instructions in 2024.

Broker Kelly Coulter in Thrivent Investment Management INC. Firm Has Customer Complaint

October 28, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint with a damage request of $729,485.13 on September 03, 2025.

Client alleged funds were removed without his authorization from his accounts with Thrivent Investment Management Inc. between January 2018 and December 2020.

Broker Joseph Pikulinski in Nylife Securities LLC Firm Has Customer Complaint

October 28, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on September 04, 2025.

Customer alleges she was not aware that her variable annuity purchased in May 2016 was replaced by a new variable annuity in April 2025.

There are Recent Customer Complaints with Broker John Wilson Ii in Firm Edward Jones

October 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Wilson Ii (Wilson Ii), previously associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Wilson Ii 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 September 02, 2025.

Client gave former financial advisor $20,000.00, cash for an alleged outside investment opportunity.

Broker Aaron Puttroff in Park Avenue Securities LLC Firm Has Customer Complaint

October 28, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on September 05, 2025.

The Client alleged the RR made unsuitable recommendations regarding investments in mutual funds. The Client is requesting damages for lost opportunity cost.

There are Recent Customer Complaints with Broker Jonathan Malinger in Firm Wedbush Securities INC.

October 28, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on September 05, 2025.

Cal. Financial Elder Abuse in Violation of Welfare & Institutions Code \\u00a715600 et seq., breach of fiduciary duty, professional negligence, and violations of California Law and FINRA Rules and Regulations

Broker William Laury in MML Investors Services, LLC Firm Has Customer Complaint

October 28, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint with a damage request of $23,000.00 on September 08, 2025.

Customer alleges Representative did not present competing products to consider prior to the sale of a variable universal life\, insurance policy she purchased in or around May 2022. Customer also alleges Representative did not disclose the\, commission he would earn on the policy, did not disclose the policy’s surrender charges, and did not follow the\, customer’s instructions regarding the initial premium amount to be applied when the policy was opened.

Broker Jim Akasala in J.P. Morgan Securities LLC Firm Has Customer Complaint

October 28, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on September 04, 2025.

Customer alleges misrepresentation regarding earned interest in a managed account. Activity dates 1.3.25 to 9.16.25.