Securities Lawyers Blog

Broker Timothy Jaggi in Nylife Securities LLC Firm Has Customer Complaint

July 2, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on August 05, 2020.

Upon reviewing the customer’s Variable Annuity policies, the Firm noted that the surrender charges on the replacement policy exceeded suitability guidelines. The customer accepted the Firm’s offer to refund the surrender charge incurred in the replacement of the variable annuity purchased in March 2019.

Broker Daniel Zimmerman in LPL Financial LLC Firm Has Customer Complaint

July 2, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Zimmerman (Zimmerman), currently associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Zimmerman 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 August 10, 2020.

Elderly Claimant alleges poor recommendation of an investment in FS KKR, which Claimant contends was unsuitable because the value of the investment allegedly declined following a public listing event. Activity Period: 2/20/18 – 8/10/20

There are Recent Customer Complaints with Broker Kelley Edwards in Firm UBS Financial Services INC.

July 2, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kelley Edwards (Edwards), currently associated with UBS Financial Services INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Edwards 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 $17,500.00 on August 10, 2020.

Time Frame: January 02, 2020 to May 31, 2020\<char_lb_r>\, \<char_lb_r>\, What were the allegations against the individual? \<char_lb_r>\, The Trustee alleges her instructions to make investment purchases for the 401 k plan was not followed.

Broker Bret Hartman in Cetera Wealth Services, LLC Firm Has Customer Complaint

July 2, 2026 | by Staff Attorney

The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Bret Hartman (Hartman), currently employed by Cetera Wealth Services, LLC has been subject to at least 6 disclosable events. These events include 6 customer complaints. According to records kept by The Financial Industry Regulatory Authority (FINRA), Hartman’s most recent customer complaint alleges that Hartman recommended unsuitable investments in structured products and makes allegations concerning misconduct relating to the handling of the customer’s accounts.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $6,000.00 on August 10, 2020.

Customer alleges misrepresentation and unsuitability of structured product investment.

There are Recent Customer Complaints with Broker Richard Diaz in Firm Principal Securities, INC.

July 2, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Diaz (Diaz), previously associated with Principal Securities, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Diaz 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 $25,000.00 on August 10, 2020.

The Trustee alleges the Trust lost money due to the representative’s failure to execute instructions to [REDACTED] accounts prior to his death.

Broker Mark Nicholson in D.a. Davidson & CO. Firm Has Customer Complaint

July 2, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Nicholson (Nicholson), currently associated with D.a. Davidson & CO., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Nicholson 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 $90,000.00 on August 10, 2020.

Client expressed concern that the liquidation of her non-qualified variable annuity resulted in a $90,000 tax bill. 10/21/19 – 8/5/2020

Broker Brett Jenson in Osaic Wealth, INC. Firm Has Customer Complaint

July 2, 2026 | by Staff Attorney

Currently financial advisor Brett Jenson (Jenson), currently employed by brokerage firm Osaic Wealth, INC. has been subject to at least 2 disclosable events. These events include 2 customer complaints. 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 on August 06, 2020.

Claimant alleges RR sold unsuitable investments, including several non-traded REITs.

There are Recent Customer Complaints with Broker Anthony Abrams in Firm Woodbury Financial Services, INC.

July 2, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Anthony Abrams (Abrams), previously associated with Woodbury Financial Services, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Abrams 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 $15,000.00 on August 07, 2020.

Customer alleges unauthorized trading of accounts.

Broker David Volpe in First Financial Equity Corporation Firm Has Customer Complaint

July 2, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on August 06, 2020.

Claimant alleges that between 2015 and April 2019, representative converted her funds by liquidating her accounts for his own personal use and by requesting claimant to write personal checks to him.

There are Recent Customer Complaints with Broker Jeffrey Olson in Firm Northland Securities, INC.

July 2, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Olson (Olson), previously associated with Northland Securities, INC., has at least 4 disclosable events. These events include 4 customer complaints, alleging that Olson 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 $906,374.66 on August 07, 2020.

Claimants allege violation of federal securities laws, violation of Minnesota Securities Act, violation of Minnesota’s Consumer Protection Act, breach of contract, common law fraud, breach of fiduciary duty, negligence and gross negligence.