Securities Lawyers Blog

There are Recent Customer Complaints with Broker Robert Star in Firm IBN Financial Services, INC.

March 27, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Star (Star), currently associated with IBN Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Star 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 $500,000.00 on October 08, 2020.

Negligence, Misrepresentation, Breach of Fiduciary Duty

Broker Ryan Stevens in Ameriprise Financial Services, LLC Firm Has Customer Complaint

March 27, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on October 06, 2020.

Client complains that the financial advisor did not advise that she would be giving up lifetime income on an annuity that was surrendered and reinvested into a managed account. (6/3/2020-9/30/2020)

Broker Raymond Thill in Charles Schwab & Co., INC. Firm Has Customer Complaint

March 27, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Raymond Thill (Thill), previously associated with Charles Schwab & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Thill 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 $4,000,000.00 on September 30, 2020.

Clients allege the representative provided a financial plan in 2017 which undercounted the Client’s anticipated withdrawals and provided an inaccurate probability that the Clients would achieve their retirement goals.

Broker Thomas Borich in Edward Jones Firm Has Customer Complaint

March 27, 2026 | by Staff Attorney

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

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

Client alleges financial advisor did not disclose the commissions. Client further alleges, poor recommendation and poor advice from financial advisor regarding his December 2019 equity purchases.

There are Recent Customer Complaints with Broker Kenneth Conway in Firm MML Investors Services, LLC

March 27, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kenneth Conway (Conway), currently associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Conway 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 $14,000.00 on September 30, 2020.

It is alleged that the rep was involved in a matter where it was recommended that the customer purchase alternative investments in or around 2015, which were misrepresented as being conservative investments and were unsuitable.

Broker Lizbeth Bloom in Arive Capital Markets Firm Has Customer Complaint

March 27, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lizbeth Bloom (Bloom), previously associated with Arive Capital Markets, has at least one disclosable event. These events include one customer complaint, alleging that Bloom 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 $120,000.00 on October 05, 2020.

Unauthorized Trading

There are Recent Customer Complaints with Broker Quinn Vitelli in Firm Bb & t Investment Services, INC.

March 27, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Quinn Vitelli (Vitelli), previously associated with Bb & t Investment Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Vitelli 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 $22,000.00 on October 08, 2020.

Claimant alleges that he was recommended unsuitable alternative investments.

Broker Allan Klenke in Morgan Stanley Firm Has Customer Complaint

March 27, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Allan Klenke (Klenke), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Klenke 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 $1,700,000.00 on October 09, 2020.

Time frame: 2016-2020 Claimant’s counsel alleges unsuitability and misrepresentation with respect to recommendations to invest in and hold an options overlay strategy.

There are Recent Customer Complaints with Broker Robert Ladino in Firm Idb Capital Corp.

March 27, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Ladino (Ladino), currently associated with Idb Capital Corp., has at least one disclosable event. These events include one customer complaint, alleging that Ladino 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 $500,000.00 on October 06, 2020.

Customers alleged that in 2011 and 2013 RR recommended they purchase and hold foreign corporate bonds that were not suitable and did not diversify their accounts.

Broker Theodore Jackson in Ameriprise Financial Services, LLC Firm Has Customer Complaint

March 27, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on October 05, 2020.

Claimant alleges that she transferred her investment in a REIT ETN to Ameriprise and Respondents failed to recommend that she change her investments and seeks damages in an unspecified amount.