Securities Lawyers Blog

There are Recent Customer Complaints with Broker Christopher Hartwig in Firm Vanguard Marketing Corporation

August 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Hartwig (Hartwig), previously associated with Vanguard Marketing Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Hartwig 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 $33,960.00 on September 15, 2022.

Client alleges that the advisor did not make her aware that trades placed to replenish her spending fund were made from her Traditional IRA account, resulting in IRS tax liabilities of $33,960.00. The activity dates leading to the allegations were September 25, 2020, and November 13, 2020.

There are Recent Customer Complaints with Broker Jack Burk in Firm Arete Wealth Management, LLC

August 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jack Burk (Burk), currently associated with Arete Wealth Management, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Burk 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 October 04, 2022.

Clients allege unsuitable investment recommendations

There are Recent Customer Complaints with Broker Nancy Corrigan in Firm the Strategic Financial Alliance, INC.

August 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nancy Corrigan (Corrigan), currently associated with the Strategic Financial Alliance, INC., has at least one disclosable event. These events include one customer complaint, alleging that Corrigan 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 September 14, 2022.

Client claims that recommendation was unsuitable and risks were not fully disclosed. Purchase of investment was 3/27/2019. Arbitration was filed in September 2022.

There are Recent Customer Complaints with Broker Helen Lin in Firm Emerson Equity LLC

August 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Helen Lin (Lin), currently associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lin 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 September 19, 2022.

Negligence; Breach of Fiduciary Duty

There are Recent Customer Complaints with Broker Andy Gitipityapon in Firm LPL Financial LLC

August 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andy Gitipityapon (Gitipityapon), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Gitipityapon 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 $150,000.00 on September 28, 2022.

Negligence

There are Recent Customer Complaints with Broker Alan Feutz in Firm J.P. Morgan Securities LLC

August 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alan Feutz (Feutz), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Feutz 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 $40,673.00 on September 21, 2022.

Customer alleges Contingent Deferred Sales Charge was not disclosed with regard to a mutual fund investment. Activity dates 11.17.21 – 9.16.22.

Broker Christy Earhart in Independent Financial Group, LLC Firm Has Customer Complaint

August 20, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on September 21, 2022.

GWG filed Chapter 11 bankruptcy as a debtor in possession in April 2022. Claimant files this claim against Arque for a number of causes of action including but not limited to breach of fiduciary duty, negligence and violation of various state securities laws and FINRA rules. Respondent denies all allegations in their entirety.

There are Recent Customer Complaints with Broker Arthur Hoffman in Firm Ameriprise Financial Services, LLC

August 20, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint on September 15, 2022.

The Securities and Exchange Commission (‘Commission’) deems it appropriate and in the public interest that public administrative proceedings be, and hereby are, instituted pursuant to Section 15(b) of the Securities Exchange Act of 1934 (‘Exchange Act’) and Section 203(f) of the Investment Advisers Act of 1940 (‘Advisers Act’) against Arthur S. Hoffman (‘Respondent’). On August 8, 2022, a final judgment was entered by consent against Hoffman, permanently enjoining him from future violations of Section 17(a) of the Securities Act of 1933 (‘Securities Act’), Section 10(b) of the Exchange Act and Rule 10b-5 thereunder, and Sections 206(1) and 206(2) of the Advisers Act, in the civil action entitled Securities and Exchange Commission v. Arthur S. Hoffman, Civil Action No. 2:22-cv-00296 in the United States District Court for the District of Arizona. The Commission’s complaint alleged that, while an associated person of a registered investment adviser and registered broker-dealer firm, Hoffman defrauded eight clients by failing to disclose compensation he received from a private issuer while recommending the issuer’s securities to those clients, and, in at least one instance, misrepresenting the extent of the compensation he received from the issuer. The complaint alleged that Hoffman also took steps to conceal his misconduct from his associated firm’s supervision, and to mislead his clients about that firm’s role in supervising his recommendations. The complaint further alleged that Hoffman’s deception led clients to invest a total of more than $650,000 with the private issuer, and that clients lost over $610,000 as a result of those investments.

Broker Neil Nissen in MML Investors Services, LLC Firm Has Customer Complaint

August 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Neil Nissen (Nissen), previously associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Nissen 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 $800,000.00 on September 16, 2022.

The complainants allege that in July 2022, the rep misrepresented two whole life insurance policies and forged their names on the related documents. They are seeking a return of the premiums paid.

There are Recent Customer Complaints with Broker Norma Kresta in Firm Bbva Securities INC.

August 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Norma Kresta (Kresta), previously associated with Bbva Securities INC., has at least one disclosable event. These events include one customer complaint, alleging that Kresta 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 $360,000.00 on September 29, 2022.

In 2002, claimant purchased an offshore variable annuity product issued by NorthStar Financial Services (Bermuda), a Nationwide affiliate. Nationwide later sold NorthStar, and NorthStar is now in receivership because of alleged fraud and mishandling. Claimant has brought an arbitration claim against firm alleging failure to conduct due diligence, negligence, etc. Regarding this 20 year old purchase.