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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Larson (Larson), previously associated with Arete Wealth Management, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Larson 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 $800,000.00 on June 23, 2025.

Clients allege registered representative sold an unsuitable investment.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Young (Young), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Young 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 $100,000.00 on June 03, 2025.

Claimant states that representative recommended GWG L Bond and Spring Hill Holdings to client. Client states misrepresentation of safety of investments and states that he was looking for investments to generate income and protect his principal. Claim seeks damages of $100,000 for unsuitable investments, failure to act in customers best interest, misrepresentation and omissions, breach of fiduciary duty, breach of contract, failure to supervise, negligence and violation of federal securities laws.

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

FINRA BrokerCheck shows a pending customer complaint on May 28, 2025.

Time Frame: January 21st, 2025 to May 28th, 2025\, \, What were the allegations against the individual? The client’s son who is the beneficiary alleges that his mother was placed in a strategy that was inconsistent with both her stated profile and personal circumstance. The beneficiary further alleges the strategy was unsuitable for an elderly unsophisticated investor.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Spohn (Spohn), currently associated with Hilltop Securities INC., has at least one disclosable event. These events include one customer complaint, alleging that Spohn 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 $44,961.27 on June 23, 2025.

Claimant alleges misrepresentation with respect to the solicitation of a Collateral Mortgage Obligation.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eric Felsenfeld (Felsenfeld), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Felsenfeld 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 $100,000.00 on June 05, 2025.

Claimant states that representative recommended GWG L Bong and Spring Hill Holdings to client. Client states misrepresentation of safety of investments and states that he was looking for investments to generate income and protect his principal. Claim seeks damages of $100,000 for unsuitable investments, failure to act in customers best interest, misrepresentation and omissions, breach of fiduciary duty, breach of contract, failure to supervise, negligence and violation of federal securities laws.

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

FINRA BrokerCheck shows a pending customer complaint on July 03, 2025.

Customer alleges she had losses in bond funds that did not match her investment objectives from September 2023 through June 2025.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gihan Fernando (Fernando), currently associated with Cetera Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Fernando 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 $250,000.00 on June 05, 2025.

Complainant alleges that certain features of the product were misrepresented during sales process on or around May 2015.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jason Street (Street), currently associated with Fbl Marketing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Street 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 $51,304.00 on June 24, 2025.

Client states trades were placed in accounts without proper thought on tax consequence by the advisor which led to the client owing over $50K in state and federal taxes. Client states tax consequences were not explained to them by the rep and were blindsided when they did their taxes for the year.

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

FINRA BrokerCheck shows a pending customer complaint on June 16, 2025.

Client alleges the representative told her the northstar healthcare income reit offered principal protection and a high interest rate. When she sold she received $9,090.00 from a purchase amount of $30,000.00.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andrew Baker (Baker), currently associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Baker 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 $50,000.00 on May 28, 2025.

Allege that investment was in a risky, privately traded REIT which was not suitable for a portion of his retirement savings

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