Reg BI

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

November 30, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on April 13, 2022.

Client alleges failure to follow instructions in 2021.

There are Recent Customer Complaints with Broker Thomas Brandstater in Firm Wells Fargo Clearing Services, LLC

November 30, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on April 12, 2022.

Client complained that Financial Advisor did not act upon requests for 5% stop orders, tax loss harvest requests and instructions concerning the buy/sell of an equity. (11/25/2021-1/21/2022)

There are Recent Customer Complaints with Broker Justin Cramer in Firm Prospera Financial Services, INC.

November 30, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Justin Cramer (Cramer), previously associated with Prospera Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Cramer 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 $80,000.00 on April 11, 2022.

Client complained of unexpected tax consequences from account recommendations

Broker Brian Clough in Nylife Securities LLC Firm Has Customer Complaint

November 30, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on April 13, 2022.

Customer alleges that in or around January 2022, he was misled regarding the impact of a partial withdrawal on the value of the Guaranteed Minimum Death Benefit of a Variable Annuity purchased in January 2005. Customer alleges that he was told that the death benefit was locked in.

There are Recent Customer Complaints with Broker Rebecca Ng Tsang in Firm Cetera Investment Services LLC

November 30, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on April 13, 2022.

Claimant alleges unsuitable investment recommendations that resulted in losses

There are Recent Customer Complaints with Broker Todd Wurth in Firm Farmers Financial Solutions, LLC

November 30, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Todd Wurth (Wurth), currently associated with Farmers Financial Solutions, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Wurth 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 $21,041.00 on April 11, 2022.

Customers allege that an Equitable Life Insurance Company service representative provided incorrect information to the registered representative, which resulted in significant taxes and penalties to the customers for a withdrawal that they took from their variable annuity contract in 2021.

There are Recent Customer Complaints with Broker Emilio Vazquez in Firm Osaic Institutions, INC.

November 30, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Emilio Vazquez (Vazquez), previously associated with Osaic Institutions, INC., has at least one disclosable event. These events include one customer complaint, alleging that Vazquez 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 April 13, 2022.

Firm breached written, oral, expressed, and implied terms and conditions of its agreements: warranties; and made false representations.

Broker Mercedita Noland in Ameriprise Financial Services, LLC Firm Has Customer Complaint

November 30, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mercedita Noland (Noland), previously associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Noland 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 $11,000.00 on April 11, 2022.

The customer alleges the mutual fund she purchased was high risk and not suitable for her situation. In addition, the customer alleges that though it was disclosed that an IRA to ROTH conversion would be a taxable event, the amount of taxes that would be due was not disclosed, nor did the RR refer the customer to a tax professional for advice prior to the conversion transaction.

Broker Sara Ng in Primex Firm Has Customer Complaint

November 30, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sara Ng (Ng), previously associated with Primex, has at least one disclosable event. These events include one customer complaint, alleging that Ng 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 $177,500.00 on April 08, 2022.

04-05-2016 IGF – 05-12-2016 GPB Misrepresentation and omission of facts

Broker Michael Myers in LPL Financial LLC Firm Has Customer Complaint

November 30, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Myers (Myers), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Myers 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 $5,000.00 on April 13, 2022.

Customer alleges financial professional’s recommendation resulted in tax liability.