Securities Lawyers Blog

Broker Antonio Hernandez in Nylife 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 Antonio Hernandez (Hernandez), currently associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hernandez 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.

Broker Kevin Houser in Ameriprise Financial Services, LLC Firm Has Customer Complaint

December 9, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Houser (Houser), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Houser 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 $244,000.00 on February 03, 2022.

Claimants allege that while they were at LPL, they were recommended the following unsuitable, speculative, high-risk investments: FSKR, FSEP, Cole Credit Property Trust IV and CIM Real Estate Finance Trust.

Broker Curtis Krueger 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 Curtis Krueger (Krueger), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Krueger recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on February 08, 2022.

Customer alleged unsuitable recommendations.

There are Recent Customer Complaints with Broker Hugh Dunn in Firm the Rockwell Financial Group, INC.

December 9, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a award / judgment customer complaint with a damage request of $325,000.00 on February 08, 2022.

Alleges that Hugh Dunn charged inappropriate trades to speculative, aggressive short term growth portfolio. 2010-2021

Broker Kevin Polheber in Osaic Wealth, INC. Firm Has Customer Complaint

December 9, 2025 | by Staff Attorney

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

Misrepresentation and Omission, Breach of Fiduciary Duty

Broker Cynthia Cowden in Npb 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 Cynthia Cowden (Cowden), previously associated with Npb Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Cowden 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 February 01, 2022.

Breach of Contract and Warranties, Promissory Estoppel. Violation of Securities Statutes, Brach of Fiduciary Duty; Claims under Common Law (intentional and negligent misrepresentation of material fact), Vicarious Liability

Broker Mark Bushkin in Cetera Wealth Services, LLC Firm Has Customer Complaint

December 9, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Bushkin (Bushkin), currently associated with Cetera Wealth Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bushkin 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 $100,000.00 on January 31, 2022.

Customers alleged the representative determined in what to invest and did not obtain their approval prior to investing.

There are Recent Customer Complaints with Broker Barbara Ralston in Firm Kovack Securities INC.

December 9, 2025 | by Staff Attorney

Currently financial advisor Barbara Ralston (Ralston), currently employed by brokerage firm Kovack Securities INC. 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 $35,000.00 on January 31, 2022.

Claimant expressed his dissatisfaction related to REIT purchase made approximately seven years ago by a Representative supervised by Ms. Ralston. Arbitration filed claims unsuitability and misrepresentation regarding the REITs.

Broker Randy Wilson in Ameriprise Financial Services, INC. Firm Has Customer Complaint

December 9, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Randy Wilson (Wilson), previously associated with Ameriprise Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Wilson 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 $250,000.00 on February 04, 2022.

Claimant alleges that in July 2021, she discovered that her former advisor: obtained a POA for her accounts; induced her to execute a new Will appointing himself him as Executor and a beneficiary of her Estate; obtained a life insurance policy and a variable annuity naming himself a beneficiary through the Estate; and obtained approximately $83k in loans from Claimant which have not been repaid. . On 8/23/22, Ameriprise Financial filed a Third-Party Statement of Claim against Wilson for contractual and common law indemnification.

There are Recent Customer Complaints with Broker Dennis Oleszkowicz in Firm UBS Financial Services INC.

December 9, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dennis Oleszkowicz (Oleszkowicz), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Oleszkowicz 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 February 02, 2022.

Allegations as stated by Claimant: Time frame: 9/2020 – 1/2021\, \, Allegations: \, Claimants allege that, contrary to the instructions of the Successor Trustee, funds in the inherited accounts were placed into a regular investment account rather than into an Inherited IRA account. Claimants allege they relied upon the Firm to ensure that documentation provided would be consistent with the objective of setting up an Inherited IRA account and deferring taxation on the funds as permitted under the tax code, and due to alleged breaches of fiduciary duty, negligence, negligent misrepresentation, suitability, Reg. BI, and violations of the Michigan Uniform Securities Act (“MUSA”) MCL 451.2509, they suffered damages of approximately $200,000.