Securities Lawyers Blog

Broker Donna Hines in Cetera Advisors LLC Firm Has Customer Complaint

January 18, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint on November 08, 2021.

Without admitting or denying the findings, Hines consented to the sanction and to the entry of findings that she refused to appear for on-the-record testimony in connection with FINRA\\u2019s investigation into whether she facilitated a customer\\u2019s bitcoin investment for compensation. The findings stated that although Hines initially cooperated with FINRA\\u2019s investigation, she eventually ceased doing so.

Broker William Poulter in LPL Financial LLC Firm Has Customer Complaint

January 18, 2026 | by Staff Attorney

Currently financial advisor William Poulter (Poulter), currently employed by brokerage firm LPL 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 on November 05, 2021.

The client alleges misrepresentation and suitability issues concerning the advisor’s advice to purchase illiquid REITs and a BDC. Client also alleges improper fees and commissions charged on his accounts. Activity period 2008-2022.

Broker Jason Garofalo in Ameriprise Financial Services, LLC Firm Has Customer Complaint

January 18, 2026 | by Staff Attorney

Currently financial advisor Jason Garofalo (Garofalo), currently employed by brokerage firm Ameriprise Financial Services, 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 $150,000.00 on November 05, 2021.

Claimant alleges that she was recommended unsuitable investment positions including Inventrust and Hospitality Investor’s Trust REITs.

There are Recent Customer Complaints with Broker George Stills in Firm Securian Financial Services, INC.

January 18, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker George Stills (Stills), previously associated with Securian Financial Services, INC., has at least 4 disclosable events. These events include 2 customer complaints, 2 regulatory events, alleging that Stills recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on November 09, 2021.

Stills is the subject of an order of a self-regulatory organization expelling him from a self-regulatory organization.

Broker William Burke in Wells Fargo Clearing Services, LLC Firm Has Customer Complaint

January 18, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on November 05, 2021.

Plaintiff alleges that in April 2014, the financial advisor misrepresented the handling of distribution of assets from a Trust.

There are Recent Customer Complaints with Broker John Butler in Firm Investment Security Corporation

January 18, 2026 | by Staff Attorney

Currently financial advisor John Butler (Butler), currently employed by brokerage firm Investment Security Corporation 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 $100,000.00 on November 05, 2021.

A claim of failure to perform due diligence and unsuitability, failure to supervise, misrepresentation, unsuitability, negligence and breach of fiduciary duty, arising out of two (2) separate private placement investments purchased by the Claimants in February 2015 and June 2015.

There are Recent Customer Complaints with Broker Maureen Schulde in Firm Merrill Lynch, Pierce, Fenner & Smith Incorporated

January 18, 2026 | by Staff Attorney

Previously financial advisor Maureen Schulde (Schulde), previously employed by brokerage firm Merrill Lynch, Pierce, Fenner & Smith Incorporated 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 $25,000.00 on November 08, 2021.

Client alleges breach of fiduciary duty related to unsuitable recommendation of non-traded REIT.

Broker Randall Raymond in Osaic Wealth, INC. Firm Has Customer Complaint

January 18, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Randall Raymond (Raymond), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Raymond 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 10, 2021.

Customer alleges breach of fiduciary duty, negligence, and breach of contract with regard to the sale of GPB Automotive Portfolio, LP

There are Recent Customer Complaints with Broker John Van Wambeke in Firm Ameriprise Financial Services, LLC

January 18, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on November 12, 2021.

Claimant alleges that Respondents failed to timely or appropriately update the beneficiaries on her ex-husband’s accounts in 2013.

There are Recent Customer Complaints with Broker Charles Ingle in Firm Edward Jones

January 18, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Charles Ingle (Ingle), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Ingle 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 $48,000.00 on November 08, 2021.

The client alleges the financial advisor failed to follow his instructions regarding the dollar amount of mutual funds to be sold in his account.