Securities Lawyers Blog

There are Recent Customer Complaints with Broker Monica Sinha in Firm Northwestern Mutual Investment Services, LLC

November 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Monica Sinha (Sinha), currently associated with Northwestern Mutual Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Sinha 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 $167,074.88 on June 03, 2022.

Customer alleges that in or around September 2021, the Representative recommended an unsuitable investment strategy in their advisory account.

Broker Erin Dickes in Morgan Stanley Firm Has Customer Complaint

November 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Erin Dickes (Dickes), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Dickes 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 $177,659.89 on June 06, 2022.

On September 20, 2022, without admitting any liability and to avoid the time, costs and uncertainties of a litigation, CIBC Private Wealth Advisors, Inc. (“PWA”) settled a customer complaint in which the customer alleged that PWA and Ms. Dickes failed to implement certain investment strategy instructions communicated by the client to Ms. Dickes and PWA. Ms. Dickes did not participate in the settlement.

There are Recent Customer Complaints with Broker Ivar Jones in Firm Ameritas Investment Company, LLC

November 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ivar Jones (Jones), currently associated with Ameritas Investment Company, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Jones 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 $12,000.00 on June 01, 2022.

Complainant alleges he was mislead in the recommendation to use a third-party manager and in their management of the municipal bond portfolio.

Broker Donald Herndon in Ameriprise Financial Services, LLC Firm Has Customer Complaint

November 17, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on June 02, 2022.

Plaintiffs allege that defendants allowed [REDACTED] variable universal life insurance policy to lapse in June 2021.

There are Recent Customer Complaints with Broker David Chepauskas in Firm Purshe Kaplan Sterling Investments

November 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Chepauskas (Chepauskas), currently associated with Purshe Kaplan Sterling Investments, has at least one disclosable event. These events include one customer complaint, alleging that Chepauskas 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 $110,000.00 on June 01, 2022.

Client alleges the Mass Mutual Whole Life Insurance policy that was recommended was unsuitable.

There are Recent Customer Complaints with Broker Timothy Myers in Firm Usca Securities LLC

November 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Timothy Myers (Myers), currently associated with Usca Securities 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 $100,000.00 on June 01, 2022.

Clients asserted breach of fiduciary duty claim against firm in connection with an investment in an oil and gas partnership in June 2014.

There are Recent Customer Complaints with Broker Alan Johnson in Firm Vanguard Marketing Corporation

November 17, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on June 01, 2022.

Client alleges that the Advisor did not follow her written instructions to have incoming funds remain liquid to use as a down payment on a home and instead reinvested the funds. The activity occurred between November 9, 2021 and June 1, 2022.

There are Recent Customer Complaints with Broker Robert Baptist in Firm LPL Financial LLC

November 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Baptist (Baptist), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Baptist 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 $15,320.04 on June 03, 2022.

CLIENT PURCHASED ADDITIONAL SHARES OF AN EXISTING MUTUAL FUND POSITION IN THE AMOUNT OF $100,000 ON JANUARY 19, 2022. CLIENT SENT A WRITTEN COMPLAINT THREE AND A HALF MONTHS LATER ON JUNE 3, 2022 REGARDING HIS PEOPLE’S SECURITIES REGISTERED REPRESENTATIVE ROBERT BAPTIST, IN WHICH HE CLAIMED THAT THE REFERENCED TRADE WAS UNSUITABLE AND PLACED BY MR. BAPTIST WITHOUT AUTHORIZATION, WITHOUT PROVIDING A PROSPECTUS AND WITHOUT DESCRIBING THE RISKS OF INVESTMENT.

Broker Charles Jimerson in Sunbelt Securities, INC. Firm Has Customer Complaint

November 17, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on June 03, 2022.

Client alleges common law negligence, breach of fiduciary duty, suitability, and know your customer violations.

There are Recent Customer Complaints with Broker Polly Stoecklein in Firm Vanderbilt Securities, LLC

November 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Polly Stoecklein (Stoecklein), previously associated with Vanderbilt Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Stoecklein 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 May 31, 2022.

CUSTOMER ALLEGES THAT INVESTMENTS MADE IN HIS ADVISORY ACCOUNT WERE UNSUITABLE, AND SEEKS RECOVERY OF LOSSES. ACITIVY PERIOD – 11/2/21 TO 4/14/22.