Securities Lawyers Blog

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.

Broker Chadwick Collins in Wedbush Securities INC. Firm Has Customer Complaint

November 30, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Chadwick Collins (Collins), currently associated with Wedbush Securities INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Collins 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 $466,449.65 on April 13, 2022.

Client attorney alleges unsuitable purchase of Nabriva Therapeutics (NBRV) and Equilium, Inc (EQ) for [REDACTED] IRA and Nabriva Therapeutics for [REDACTED] IRA.

There are Recent Customer Complaints with Broker Vladimir Greben in Firm LPL Financial LLC

November 30, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Vladimir Greben (Greben), currently associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Greben 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 08, 2022.

Claimants allege representative over-concentrated their savings in alternative investments and that representative made alleged misrepresentations concerning the investments. The time period is unknown but believed to be prior to 2015.

Broker Paul Shie in PFS Investments INC. Firm Has Customer Complaint

November 30, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on April 10, 2022.

Customer alleged that i misrepresented the product’s growth features.

Broker Walter Parker in Titan Securities Firm Has Customer Complaint

November 30, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Walter Parker (Parker), previously associated with Titan Securities, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Parker 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 April 13, 2022.

Per statement of claim: common law fraud, breach of fiduciary duty, negligence, breach of contract,