Securities Lawyers Blog

Broker Chad Vandenbusch in LPL Financial LLC Firm Has Customer Complaint

July 1, 2026 | by Staff Attorney

Currently financial advisor Chad Vandenbusch (Vandenbusch), currently employed by brokerage firm LPL Financial LLC has been subject to at least 2 disclosable events. These events include 2 customer complaints. 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 $220,000.00 on August 11, 2020.

Client alleges structured products and REITs sold were misrepresented as safer investments than conventional equities.

Broker Pedro J Pons in UBS Financial Services Incorporated of Puerto Rico Firm Has Customer Complaint

July 1, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Pedro J Pons (Pons), previously associated with UBS Financial Services Incorporated of Puerto Rico, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Pons 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 $90,000.00 on August 11, 2020.

Time frame: Unspecified\<char_lb_r>\, Claimants allege the recommendation to invest in and hold Puerto Rico Closed-End Funds was unsuitable and that their account was over-concentrated in these investments. Claimants also allege that the risk of investing in and concentration in Puerto Rico investments was misrepresented.

There are Recent Customer Complaints with Broker James Arness in Firm Wells Fargo Clearing Services, LLC

July 1, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Arness (Arness), previously associated with Wells Fargo Clearing Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Arness recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on August 13, 2020.

Client complained that the financial advisor erroneously advised her that she would achieve a higher rate of income if she delayed turning on an income rider. (12/7/2007-7/8/2020)

Broker Robert Gianchiglia in Oneamerica Securities, INC. Firm Has Customer Complaint

July 1, 2026 | by Staff Attorney

Currently financial advisor Robert Gianchiglia (Gianchiglia), currently employed by brokerage firm Oneamerica Securities, INC. has been subject to at least 2 disclosable events. These events include 2 customer complaints. 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 $200,000.00 on August 18, 2020.

FINRA arbitration 19-03388 in which the claimants allege misrepresentation in the sale of private placement

There are Recent Customer Complaints with Broker Michael Kamperman in Firm Hd Vest Investment Services

July 1, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Kamperman (Kamperman), previously associated with Hd Vest Investment Services, has at least 4 disclosable events. These events include 4 customer complaints, alleging that Kamperman 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 August 13, 2020.

Client alleged the trades placed in her account were unsuitable and excessive. Time frame of the alleged activity was 2015 through June 2017.

There are Recent Customer Complaints with Broker John Kuehl in Firm RBC Capital Markets, LLC

July 1, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Kuehl (Kuehl), previously associated with RBC Capital Markets, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Kuehl 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 August 13, 2020.

Claimant alleges that in 2013 and 2016 his financial advisor switched his accounts from fee-based to commission without his approval.

There are Recent Customer Complaints with Broker Mario Didomenico in Firm Muriel Siebert & Co., LLC

July 1, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mario Didomenico (Didomenico), currently associated with Muriel Siebert & Co., LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Didomenico 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 $14,999.00 on August 14, 2020.

Broker David Omura in Commonwealth Financial Network Firm Has Customer Complaint

July 1, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Omura (Omura), currently associated with Commonwealth Financial Network, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Omura 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 $72,927.00 on August 13, 2020.

Clients allege that an error which RR acknowledged and agreed to remedy, was, among other things, a violation of Hawaii securities laws.

Broker William Humbarger in Nylife Securities LLC Firm Has Customer Complaint

July 1, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Humbarger (Humbarger), previously associated with Nylife Securities LLC, has at least 7 disclosable events. These events include 7 customer complaints, alleging that Humbarger recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on August 13, 2020.

Plaintiffs allege that in or around February 1999 and March 1999 they were misled into exchanging life insurance policies into Variable Universal Life policies which carried significant surrender charges and were not suitable. Plaintiffs seek compensatory and punitive damages as well as costs and fees.

There are Recent Customer Complaints with Broker Douglas Henrickson in Firm Triad Advisors LLC

July 1, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Douglas Henrickson (Henrickson), previously associated with Triad Advisors LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Henrickson recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on August 12, 2020.

Following suspension of distributions, Claimants now allege, 5-6 years after the fact, that investments they elected to make in 2014/2015 were unsuitable.