Securities Lawyers Blog

There are Recent Customer Complaints with Broker Brian Titus in Firm Ameriprise Financial Services, LLC

October 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Titus (Titus), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Titus 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 November 08, 2022.

Claimant was a McDonald’s employee who left the company in November 2020 and claims that, upon his departure, he was entitled to exercise vested stock options. Claimant alleges that defendants had a responsibility to notify him that his stock options had expired. Claimant alleges that Ameriprise breached its fiduciary duty by failing to search for information to inform him of the expiration date of his McDonalds stock options.

Broker Pedro Escobar in Ameriprise Financial Services, LLC Firm Has Customer Complaint

October 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Pedro Escobar (Escobar), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Escobar 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 November 11, 2022.

Client alleges unsuitable recommendations.

There are Recent Customer Complaints with Broker Lawrence Delhagen in Firm Stifel, Nicolaus & Company, Incorporated

October 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lawrence Delhagen (Delhagen), previously associated with Stifel, Nicolaus & Company, Incorporated, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Delhagen 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 $400,000.00 on November 08, 2022.

Claimants allege breach of fiduciary duty, breach of contract, negligence/negligent misrepresentation/omission, common law fraud, and restitution.

There are Recent Customer Complaints with Broker James Waters in Firm Lion Street Financial, LLC

October 3, 2025 | by Staff Attorney

Currently financial advisor James Waters (Waters), currently employed by brokerage firm Lion Street Financial, LLC has been subject to at least one disclosable event. These events include one customer complaint. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments such as direct participation products (DPPs) like business development companies (BDCs), non-traded real estate investment trusts (REITs), oil & gas programs, annuities, and private placements. The attorneys at Gana Weinstein LLP have represented hundreds of investors who suffered losses caused by these types of high risk, low reward products.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $5,000.00 on November 09, 2022.

Client alleges Misrepresentations and Omissions, Breach of Fiduciary Duty, Unsuitable Investments, Breach of Securities Act of 1934, and Negligence. Client invested in the GPB Automotive portfolio in May of 2018 which was a private placement. Client was presented the portfolio because he qualified for the private placement due to his high net worth and the portfolio was consistent with his risk profile and long term investment objectives. It was ultimately discovered that certain individuals of GPB were committing fraud and in February 2021, The Securities and Exchange Commission (“SEC”) charged three individuals and their affiliated entities with running a Ponzi-like scheme that raised over $1.7 billion from securities issued by a New York-based asset management firm and registered investment adviser, GPB Capital. The SEC also charged GPB Capital with violating the whistleblower protection laws. In June of 2022 the SEC recommended GPB be placed in receivership to protect investor assets.

There are Recent Customer Complaints with Broker Joseph Nelson in Firm G. A. Repple & Company

October 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Nelson (Nelson), previously associated with G. A. Repple & Company, 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 $25,000.00 on November 11, 2022.

Claimant alleges unsuitable recommendation and failure to disclose material change in business model

Broker Larry Stringer in Capital Investment Group, INC. Firm Has Customer Complaint

October 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Larry Stringer (Stringer), previously associated with Capital Investment Group, INC., has at least one disclosable event. These events include one customer complaint, alleging that Stringer 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 $50,000.00 on November 07, 2022.

Product was unsuitable in nature.

Broker Andrew Wilson in First Allied Securities, INC. Firm Has Customer Complaint

October 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andrew Wilson (Wilson), previously associated with First Allied Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Wilson 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 November 08, 2022.

Claimant alleges his financial advisor recommended unsuitable investments.

Broker William Greenman in Equitable Advisors, LLC Firm Has Customer Complaint

October 3, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on November 14, 2022.

Client alleges RR made unsuitable and unauthorized trades in her father’s brokerage account.

Broker David Somerville in Wells Fargo Clearing Services, LLC Firm Has Customer Complaint

October 3, 2025 | by Staff Attorney

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

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

Client verbally complained that he did not authorize the mutual fund Periodic Investment Plan implemented in his account in January 2022.

There are Recent Customer Complaints with Broker Walter Ickert in Firm Ifp Securities, LLC

October 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Walter Ickert (Ickert), currently associated with Ifp Securities, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Ickert 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 $83,000.00 on November 15, 2022.

Customer filed a FINRA arbitration claim received by the firm on Oct 30, 2022. The claim alleges failure to disclose risk parameters surrounding an investment in a GWG “L Bond”. In particular, failure to disclose a possible risk that the principal of the Bond could not be readily accessed or that there was a risk that monthly income could somehow be lost was alleged. The customer also alleges that there was an unsuitable over-concentration in alternative investments and failure on the part of the firm to conduct adequate due diligence. The subject investment in question has filed for Federal Bankruptcy protection under Chapter 11 (re-organization). Internal investigation of facts surrounding allegations was completed on Dec 4th 2022 noting that the term of the bond in question and associated risk parameters were appropriately reflected in person and via documentation provided to the client. Customer requests rescission of investment (83K) and compensatory damages of less than 100k. Ascertainment of alleged actual damages is impossible until Chapter 11 proceedings are completed. Both firm and representative deny the claim(s) and intend to rigorously contest the matter.