Securities Lawyers Blog

There are Recent Customer Complaints with Broker Lester Iseri in Firm PFS Investments INC.

November 23, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 31, 2025.

Client alleged I failed to disclose the tax consequences of transferring non-qualified assets into a mutual fund account with PFSI

There are Recent Customer Complaints with Broker Dan Holzer in Firm Realta Equities, INC.

November 23, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on September 16, 2024.

Breach of fiduciary duty, suitability, Fraudulently or negligently made material misrepresentations and omissions of material information, Violation of FINRA rules 2010, I-M-2310-2, and 2020, breach of contract

There are Recent Customer Complaints with Broker Patrick Leon in Firm LPL Financial LLC

November 23, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Patrick Leon (Leon), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Leon 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 $72,587.86 on June 03, 2025.

The client opened an annuity in March 2021 with a lifetime income rider. The amount of annual income was anticipated to be 4.65% for age 65 and older, however, the payout is actually 3.40% as it is based on the spouse's age. This amounts to $10,302 less in guaranteed annual income. 10/2/2025 Update – Customer surrendered contract and CBSI agreed to make him whole up to his original investment amount. The cost of settlement included $29,897.30 in surrender charges plus $42,690.56 in market value adjustment for a final total of $72,587.86.

There are Recent Customer Complaints with Broker Curvin Miller in Firm Arkadios Capital

November 23, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Curvin Miller (Miller), previously associated with Arkadios Capital, has at least one disclosable event. These events include one customer complaint, alleging that Miller 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 $70,449.45 on March 12, 2025.

Breach of fiduciary duty and failure to disclose conflict of interests between Kalos Capital and Wildermuth Endowment Funds

Broker Laurie Ingwersen in Aw Securities Firm Has Customer Complaint

November 23, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on February 13, 2025.

Financial Advisors providing advice to retail investors are required to adhere to the SEC’s Regulation Best Interest (Reg BI). Reg BI applies a ‘best interest’ standard for broker-dealers and their associated people. This standard applies when brokers make recommendations to retail customer for any securities transaction or investment strategy involving securities, including recommendations of types of accounts. This Reg BI standard of care applies to registered representatives making recommendations to customers in the purchase, sale, or exchange of securities or the implementation of investment strategies involving securities and non-securities. The rule also applies to the handling of opening accounts such as account transfers and types of accounts being recommended to be opened.

Broker Robert Hetterscheidt in Edward Jones Firm Has Customer Complaint

November 23, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Hetterscheidt (Hetterscheidt), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Hetterscheidt 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 $75,000.00 on May 27, 2022.

The client alleges that the financial advisor was incorrect in stating that he could take a short term withdrawal and then return money into his inherited IRA account within 60 days without tax consequence.

Broker Donald Laurence in Raymond James & Associates, INC. Firm Has Customer Complaint

November 23, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Donald Laurence (Laurence), previously associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Laurence 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 $3,000,000.00 on January 11, 2023.

Improper Asset Allocation caused losses

There are Recent Customer Complaints with Broker Helen Grace Caldwell in Firm Wells Fargo Clearing Services, LLC

November 23, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Helen Grace Caldwell (Caldwell), previously associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Caldwell 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 $325,000.00 on May 06, 2025.

Claimant alleges damages in connection with an outside investment in a former registered representative’s outside business.

Broker Roger Ingwersen in Aw Securities Firm Has Customer Complaint

November 23, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on February 13, 2025.

The customer alleges that respondents The Harvest Group Wealth Management, LLC, Roger H. Ingwersen, Laurie Ingwersen and Todd Ingwersen collectively engaged in unsuitable investment practices, misrepresentations, and failed to act on client instructions, resulting in avoidable losses.

Broker Naafe Hakeem in J.P. Morgan Securities LLC Firm Has Customer Complaint

November 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Naafe Hakeem (Hakeem), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hakeem 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 $115,141.31 on September 10, 2025.

Customer alleges unauthorized trading regarding managed account investment. Activity dates 5/29/25 through 10/2/25