Securities Lawyers Blog

There are Recent Customer Complaints with Broker Jeanann Kramer in Firm LPL Financial LLC

July 26, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeanann Kramer (Kramer), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kramer 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 $11,475.00 on March 18, 2020.

In the financial industry advisors must meet the requirements of the SEC’s Regulation Best Interest (Reg BI) in providing investment advice and services. Reg BI established a ‘best interest’ standard for brokerage firms and registered representatives. This standard applies when a registered representative is providing investment advice through making recommendations customers and covers securities transaction, investment strategies, and recommendations concerning advice on opening of an account or accounts. This standard applies when a registered representative is providing investment advice through making recommendations customers and covers securities transaction, investment strategies, and recommendations concerning advice on opening of an account or accounts.

There are Recent Customer Complaints with Broker Brittney Sias in Firm Western International Securities, INC.

July 26, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brittney Sias (Sias), previously associated with Western International Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Sias 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 March 19, 2020.

Unsuitable Recommendations

There are Recent Customer Complaints with Broker Robert Lattig in Firm Wells Fargo Advisors Financial Network, LLC

July 26, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 19, 2020.

The customer alleges unsuitable investment recommendations.

Broker John Kwit in Park Avenue Securities LLC Firm Has Customer Complaint

July 26, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Kwit (Kwit), previously associated with Park Avenue Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kwit 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 $125,000.00 on March 19, 2020.

Former clients alleged that in 2018 mr. Kwit liquidated investments resulting in excessive capital gains and principal losses

There are Recent Customer Complaints with Broker Jerry Lopez in Firm Valic Financial Advisors, INC.

July 26, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jerry Lopez (Lopez), currently associated with Valic Financial Advisors, INC., has at least one disclosable event. These events include one customer complaint, alleging that Lopez 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 $20,000.00 on March 19, 2020.

Client alleged she met with her representative in July of 2019 and had requested he secure her account in a fixed interest option, which he neglected to do.

Broker Joseph Delsignore in Edward Jones Firm Has Customer Complaint

July 26, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Delsignore (Delsignore), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Delsignore 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 $12,933.00 on March 18, 2020.

Client alleges his financial advisor failed to advise him that the client would have tax ramifications in distributing funds from his annuity into his individual account.

Broker Bradley Hyldahl in UBS Financial Services INC. Firm Has Customer Complaint

July 26, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 19, 2020.

Time Frame: March 12, 2020 to March 19, 2020 \<char_lb_r>\, The client alleges his instructions to liquidate his securities were not followed. The alleged damages are estimated to be in excess of $5,000.00

Broker Kenneth Christie in LPL Financial LLC Firm Has Customer Complaint

July 26, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 18, 2020.

Customer alleges Failure to follow instructions to not make investments in her Discretionary Managed Accounts

Broker Le Nguyen in Farmers Financial Solutions, LLC Firm Has Customer Complaint

July 26, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 18, 2020.

Customer alleges the Variable Universal Life insurance policy she purchased in September 1996 was understand to provide a death benefit to both her and her mother and that the premium cost for the policy would stay the same however this was eventually found to be inaccurate as the premium costs have increased and the death benefit would only be received by the customer upon her mother’s passing.

There are Recent Customer Complaints with Broker William Hanner in Firm Valic Financial Advisors, INC.

July 26, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 20, 2020.

Client alleges advisor erroneously stated that her assets had been moved to the fixed account.