Securities Lawyers Blog

Broker Jerry Tuma in Independent Financial Group, LLC Firm Has Customer Complaint

December 10, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jerry Tuma (Tuma), currently associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Tuma 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 $200,000.00 on January 21, 2022.

Claims investment was not suitable and was not in line with stated objectives.

There are Recent Customer Complaints with Broker Ammie Mareez De Los Reyes in Firm Nylife Securities LLC

December 9, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on February 07, 2022.

Customer alleges the Fixed Annuity policy she purchased in February 2021 contains a longer surrender charge period than was originally understood and the information represented on her Client Profile is not accurate.

There are Recent Customer Complaints with Broker Mario Renteria, in Firm J.P. Morgan Securities LLC

December 9, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mario Renteria, (Renteria,), previously associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Renteria, 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 $10,000.00 on February 01, 2022.

The client alleges the financial advisor failed to follow instructions and her account lost value.

There are Recent Customer Complaints with Broker Bradley Lange in Firm Wells Fargo Clearing Services, LLC

December 9, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on January 31, 2022.

Customer alleges that, as told, this investment had a penalty of about $2,000.00 or if was withdraw before maturity, but it was not subject to any loss of values from the market.

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

December 9, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Lasher (Lasher), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lasher 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 $45,000.00 on January 31, 2022.

Customer alleges that an investment made in June 2014 was inappropriate for the customer’s investment objectives and risk tolerance, and that representative made alleged misrepresentations concerning the investment.

Broker Matthew Biedron in J.P. Morgan Securities LLC Firm Has Customer Complaint

December 9, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on January 31, 2022.

The client alleged the advisor made a blatant mistake that caused a financial loss. The activity occurred on January 31, 2022.

Broker Kyle Kirwan in Independent Financial Group, LLC Firm Has Customer Complaint

December 9, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kyle Kirwan (Kirwan), currently associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kirwan 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 $334,000.00 on January 31, 2022.

Breach of Fiduciary duty, over concentration in high risk securities.

Broker James Devary in Arete Wealth Management, LLC Firm Has Customer Complaint

December 9, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Devary (Devary), currently associated with Arete Wealth Management, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Devary 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 January 31, 2022.

Suitability

Broker Daniel Ray in LPL Financial LLC Firm Has Customer Complaint

December 9, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint with a damage request of $160,000.00 on February 01, 2022.

Customer alleges that in 2016, representative made a recommendation that he invest in and hold a closed-end fund and a business development company that was unsuitable for the customer’s risk tolerance and investment objectives.

Broker Sean Waggoner in Cetera Advisor Networks LLC Firm Has Customer Complaint

December 9, 2025 | by Staff Attorney

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

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

PARTICIPANTS in a 401K Plan allege that between 2009 and 2022, representative recommended costly investments to the detriment of the 401K Plan. Participants also allege that representative was not registered in the proper state to provide investment advice to the 401K Plan.