Securities Lawyers Blog

There are Recent Customer Complaints with Broker Jeffrey Rettman in Firm Stifel, Nicolaus & Company, Incorporated

February 18, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Rettman (Rettman), currently associated with Stifel, Nicolaus & Company, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Rettman 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 $30,106.00 on May 10, 2021.

The client alleges the financial advisor did not inform him the liquidation of a 529 account would result in tax consequences.

There are Recent Customer Complaints with Broker Jette Ziesemer in Firm Securian Financial Services, INC.

February 18, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jette Ziesemer (Ziesemer), previously associated with Securian Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Ziesemer 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 $7,043.82 on May 06, 2021.

Client alleged RR misrepresented policy at the time of sale in 11/2018. Client would like his coverage terminated and surrender charges waived.

Broker Kevin Kim in J.P. Morgan Securities LLC Firm Has Customer Complaint

February 18, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Kim (Kim), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kim 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 $43,000.00 on May 07, 2021.

Client alleges poor recommendation/poor advice regarding the sale of managed account resulting in a tax liability. Activity Dates: 11/05/2020 through 11/05/2020.

There are Recent Customer Complaints with Broker Mark Haye in Firm Nylife Securities LLC

February 18, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Haye (Haye), previously associated with Nylife Securities LLC, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Haye recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on May 06, 2021.

The policyowner alleges that when she transferred her $29,000 IRA in March of 2017 for the benefit of an account with an IPR rider (14 days prior to her 72nd birthday), the RR did not disclose that exercising the IPR would lock funds in until 15 years in the future to almost age 87. She also claims that the loss of money to transfer out of this policy was not disclosed and requests assistance to resolve this matter.

There are Recent Customer Complaints with Broker Mariana Ng Meyerson in Firm Merrill Lynch, Pierce, Fenner & Smith Incorporated

February 18, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mariana Ng Meyerson (Meyerson), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Meyerson recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

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

The customer alleges unsuitable investment recommendations from May 2020 until May 2021

There are Recent Customer Complaints with Broker Jeremy Crews in Firm Pickwick Capital Partners, LLC

February 18, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeremy Crews (Crews), previously associated with Pickwick Capital Partners, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Crews 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 $5,000.00 on May 07, 2021.

Customer completed an application to purchase a fixed annuity contract in May, 2020. A portion of the purchase proceeds were to come from another annuity contract owned by the customer in a 1035 exchange transaction. Customer alleges that representative’s delay in transmitting the instructions to the insurance company allowed the existing annuity contract to renew by it’s terms, permitting contractual surrender penalties when the surrender ultimately took place.

Broker Richard Williams in Madison Avenue Securities, LLC Firm Has Customer Complaint

February 18, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Williams (Williams), previously associated with Madison Avenue Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Williams 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 $30,000.00 on May 10, 2021.

Claimants allege unsuitable recommendations of multiple alternative investments, failure to supervise and complete loss of an investment in a company run by the representative.

Broker Perry De Leeuw in PFS Investments INC. Firm Has Customer Complaint

February 18, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Perry De Leeuw (De Leeuw), previously associated with PFS Investments INC., has at least one disclosable event. These events include one customer complaint, alleging that De Leeuw 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 $152,715.00 on May 06, 2021.

Customer alleges she gave mr. De leeuw money to invest in outside businesses which were not disclosed to the firm.

Broker Patrick Everett in Ameriprise Financial Services, LLC Firm Has Customer Complaint

February 18, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Patrick Everett (Everett), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Everett 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 $5,000.00 on May 07, 2021.

The client alleged the advisor did not make investment recommendations in a timely manner in 2021.

There are Recent Customer Complaints with Broker David Goodrich in Firm Osaic Wealth, INC.

February 18, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Goodrich (Goodrich), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Goodrich 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 $130,000.00 on May 05, 2021.

Customers allege the firm did not conduct adequate due diligence and the firm and representative did not fully disclose all material facts regarding the investment.