Reg BI

There are Recent Customer Complaints with Broker So Young Yom in Firm Nylife Securities LLC

October 29, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on September 22, 2025.

The policyowner alleges that the RR did not fully explain the variable universal life insurance policies sold to her parents in December 2013, and that the ownership of the policies was transferred to her without her knowledge or consent. The policyowner has requested a refund of premiums paid.

There are Recent Customer Complaints with Broker Bradley Secord in Firm Wells Fargo Clearing Services, LLC

October 29, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on September 26, 2025.

Plaintiff alleges the FA made misrepresentations and omissions that permitted accounts to be reduced to a zero balance by 2017 without notice to or knowledge of the Plaintiff account holder.

Broker Derek Grimm in RBC Capital Markets, LLC Firm Has Customer Complaint

October 29, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on September 25, 2025.

The customer alleges unsuitable investments, misrepresentations and omissions, and that the Financial Advisor was not acting in her best interest.

Broker John Lee in Independent Financial Group, LLC Firm Has Customer Complaint

October 29, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on September 22, 2025.

(1)unsuitable investments (2) misrepresentation (3) negligence (4) breach of fiduciary duty in connection with reit investments

There are Recent Customer Complaints with Broker Nader Gandevani in Firm Shopoff Securities, INC.

October 29, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nader Gandevani (Gandevani), currently associated with Shopoff Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Gandevani 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 $233,000.00 on September 25, 2025.

Customer alleges that in or about 2019 the representative recommended GWG Holdings L Bonds and Red Oak Capital Fund III Bonds that were unsuitable given the customer&amp;amp;#39;s limited investment experience and risk tolerance, and misrepresented risk and outcomes. Customer claims loss of principal and unpaid interest and seeks recovery.

There are Recent Customer Complaints with Broker Christopher Coppola 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 Christopher Coppola (Coppola), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Coppola 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 $627,500.00 on September 25, 2025.

Claimant alleges Respondents did not place market orders for an IPO on behalf of Claimant.

Broker Walter Nelson in Cabin Securities, INC. Firm Has Customer Complaint

October 29, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Walter Nelson (Nelson), currently associated with Cabin Securities, INC., 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 pending customer complaint with a damage request of $100,000.00 on September 25, 2025.

Client alleges registered representative sold unsuitable investments.

Broker James Medsker in Wells Fargo Clearing Services, LLC Firm Has Customer Complaint

October 29, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Medsker (Medsker), previously associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Medsker 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.

Claimant alleges that from 2019 through 2021, the FA failed to escalate the potential financial exploitation of the Claimant

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.