Securities Lawyers Blog

Broker Roger Roemmich in Alexander Capital, L.p. Firm Has Customer Complaint

October 15, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on July 14, 2025.

Breach of Fiduciary Duty; Aiding and Abetting; Negligence (Failure to Supervise). Violations of Georgia State Laws. Beginning in early 2020 through 2024.

There are Recent Customer Complaints with Broker William Braun in Firm Kestra Investment Services, LLC

October 15, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Braun (Braun), currently associated with Kestra Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Braun 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 $150,000.00 on July 15, 2025.

Alleges unsuitable recommendations in GWG L bonds

Broker Michael Frontino in Osaic Wealth, INC. Firm Has Customer Complaint

October 15, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Frontino (Frontino), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Frontino 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 $5,000.00 on July 08, 2025.

Customer alleges REIT purchased in 2015 was unsuitable.

Broker John Li in Ameriprise Financial Services, LLC Firm Has Customer Complaint

October 15, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Li (Li), previously associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Li 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 $694,674.63 on July 15, 2025.

Claimants allege that, in March 2011, Respondents recommend Claimants replace their Hartford annuities with two Genworth Life annuities. Claimants also claim that in late 2022, Respondents recommended that they replace their Genworth annuities with MassMutual annuity products for the purported purpose of earning a higher interest rate. Claimants further allege that this exchange required Claimants to relinquish the Long-Term Care rider provision of the Genworth annuities.

There are Recent Customer Complaints with Broker Patrick Hobert in Firm Centaurus Financial, INC.

October 15, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Patrick Hobert (Hobert), currently associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Hobert 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 $80,000.00 on July 15, 2025.

The customers allege that in September 2015, the Registered Representative recommended unsuitable, illiquid investments.

There are Recent Customer Complaints with Broker Charles Kaufmann in Firm UBS Financial Services INC.

October 14, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Charles Kaufmann (Kaufmann), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Kaufmann 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 $47,925.00 on July 25, 2025.

Time Frame: September 27th, 2024 to February 3rd, 2025\, \, What were the allegations against the individual? The Trustee alleges her instructions of not to engage in any transaction that would cause dividend or interest income in the account was not followed.

Broker Chad Mehle in J.P. Morgan Securities LLC Firm Has Customer Complaint

October 14, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Chad Mehle (Mehle), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mehle 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 $2,500,000.00 on July 17, 2025.

Customer alleges the registered representative solicited an investment involving third-party real estate

There are Recent Customer Complaints with Broker Nichole Wall in Firm Nylife Securities LLC

October 14, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on July 25, 2025.

The customers allege that they were misled when they purchased variable life insurance policies purchased in June 2020.

Broker Stephanie Hughes in Cetera Advisor Networks LLC Firm Has Customer Complaint

October 14, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stephanie Hughes (Hughes), previously associated with Cetera Advisor Networks LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hughes 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 $18,000.00 on July 29, 2025.

The client alleges that the advisor misrepresented the insurance policy to her.

Broker Benjamin Calvert in Synovus Securities, INC. Firm Has Customer Complaint

October 14, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Benjamin Calvert (Calvert), currently associated with Synovus Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Calvert 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 $65,587.12 on July 18, 2025.

Clients’ heirs claim their father received an unsuitable recommendation to purchase an immediate annuity on or about February 23, 2024. The client received two annuity payments before passing away on May 16, 2024. At the time of his death, all future monthly annuity payments were terminated.