Securities Lawyers Blog

There are Recent Customer Complaints with Broker Patricia Bebber in Firm Wells Fargo Clearing Services, LLC

July 21, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on April 02, 2020.

Client verbally complained that the financial advisor failed to take appropriate action to prevent him from depleting his assets through speculative transactions and unsustainable withdrawals. (5/1/2016-4/2/2020)

There are Recent Customer Complaints with Broker Gerald Repasz in Firm Ausdal Financial Partners, INC.

July 21, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gerald Repasz (Repasz), previously associated with Ausdal Financial Partners, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Repasz 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 April 02, 2020.

Unsuitable investments

There are Recent Customer Complaints with Broker Richard Westerman in Firm Northwest Investment Advisors, INC.

July 21, 2026 | by Staff Attorney

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

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

Sales practices

There are Recent Customer Complaints with Broker David Crawford in Firm David Lerner Associates, INC.

July 8, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a award / judgment customer complaint with a damage request of $15,808.18 on July 16, 2020.

Crawford was a subject of the customer’s complaint against his member firm and/or other named respondent(s) that asserted the following causes of action: failure to timely execute sale; and breach of fiduciary duty. The causes of action relate to sale of Lord Abbett mutual fund.

Broker Tyler Bashaw in Kingswood Capital Partners, LLC Firm Has Customer Complaint

July 8, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Tyler Bashaw (Bashaw), currently associated with Kingswood Capital Partners, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Bashaw 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 $40,000.00 on July 14, 2020.

Newbridge Securities Corporation is a named party of an arbitration with the allegation of negligence, breach of fiduciary duty, and negligent supervision. The registered representative, Tyler Bashaw, was not named in the arbitration and was only mentioned in the subject of the statement of claim.

There are Recent Customer Complaints with Broker Samuel Izaguirre in Firm LPL Financial LLC

July 8, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Samuel Izaguirre (Izaguirre), currently associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Izaguirre 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 $600,000.00 on July 07, 2020.

Claimant alleges losses in connection with her investments in alternative investments and an annuity. Claimant alleges she was misled about the details of the investments and therefore, incurred damages as a result of her purchases. Activity period: 5/8/14 to present.

There are Recent Customer Complaints with Broker Khary Miller in Firm LPL Financial LLC

July 8, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Khary Miller (Miller), currently associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Miller 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 $21,420.00 on July 08, 2020.

Customer purhased reit in 2014 that has gone down in value and alleges representative told her at time of purchase that she would receive the investment principal plus all dividends at end of five years.

Broker Timothy Ridge in Sagepoint Financial, INC. Firm Has Customer Complaint

July 8, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Timothy Ridge (Ridge), previously associated with Sagepoint Financial, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Ridge 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 July 16, 2020.

It is alleged that customer’s investment in private fund was unsuitable

There are Recent Customer Complaints with Broker Sean Starling in Firm Nylife Securities LLC

July 8, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on July 16, 2020.

Customer alleges the Variable Annuity policy she purchased in June 2013 was initially understood to allow for withdrawals however she recently became aware that this policy does not allow for withdrawals, therefore she is requesting an exception in order to access her funds immediately.

There are Recent Customer Complaints with Broker Alphonse Arminio in Firm LPL Financial LLC

July 8, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alphonse Arminio (Arminio), currently associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Arminio 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 $13,922.00 on July 14, 2020.

Client has made allegations that the representative misstated investment risk and objectives.