Securities Lawyers Blog

Broker Lisa Kitchin in Rockefeller Financial LLC Firm Has Customer Complaint

June 4, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lisa Kitchin (Kitchin), currently associated with Rockefeller Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kitchin 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 $200,000.00 on February 07, 2024.

Customer alleges unsuitable recommendation regarding managed account account activity dates 03.14.23 to 05.01.2023

There are Recent Customer Complaints with Broker Alexis Crespo Perez in Firm Oriental Financial Services LLC

June 4, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alexis Crespo Perez (Crespo Perez), currently associated with Oriental Financial Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Crespo Perez 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 $95,000.00 on February 07, 2024.

Claimants are senior investors who claim lost lifetime savings because of unsuitable recommendations to purchase and HOLD investments,\, overconcentration and misrepresentations made by RESPONDENT to Claimants.

Broker Samuel Haddix in Ameriprise Financial Services, INC. Firm Has Customer Complaint

June 4, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on February 08, 2024.

Plaintiff alleges he engaged a former Ameriprise advisor to assist him in growing his small business. He alleges the defendant advisor fraudulently opened two bank accounts without authority. He further alleges the defendant advisor drafted a ‘Purchase Business Agreement’ and solicited investors to invest in plaintiff’s small business for purposes of paying off tax debt. In addition, plaintiff alleges defendant advisor harassed and threatened him to relinquish rights and control in his business.

There are Recent Customer Complaints with Broker Philip Rulon in Firm J.w. Cole Financial, INC.

June 4, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Philip Rulon (Rulon), previously associated with J.w. Cole Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Rulon 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 $93,000.00 on February 07, 2024.

Beneficiaries on behalf of the client allege improper investments and fees.

Broker Arif Ahmed in J.P. Morgan Securities LLC Firm Has Customer Complaint

June 4, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Arif Ahmed (Ahmed), currently associated with J.P. Morgan Securities LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Ahmed 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 $38,000,000.00 on February 06, 2024.

Client alleges losses from investment recommendation. Activity dates 5/26/22 – 9/29/23.

Broker Jarrett Imamura in LPL Financial LLC Firm Has Customer Complaint

June 4, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on February 08, 2024.

Customer alleges that an investment made in 2014 was unsuitable for the customer’s investment objectives and risk tolerance.

Broker Douglas Farris in Nylife Securities LLC Firm Has Customer Complaint

June 4, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Douglas Farris (Farris), currently associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Farris 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 $190,400.00 on February 07, 2024.

The customers allege they were misled and inadequately educated when they purchased a variable universal life insurance policy in October 2012. The customers have requested reimbursement of all premiums paid since the inception of the policy.

Broker Thomas Sullivan in Avantax Investment Services, INC. Firm Has Customer Complaint

June 4, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on February 08, 2024.

Customer alleges that investments made in 2014 were unsuitable for the customer’s investment objectives and risk tolerance.

There are Recent Customer Complaints with Broker Rowena Ruff in Firm LPL Financial LLC

June 4, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on February 08, 2024.

Customer alleges that an investment made in 2014 was unsuitable for the customer’s investment objectives and risk tolerance.

Broker Diana Palmieri in Vanderbilt Securities, LLC Firm Has Customer Complaint

June 4, 2025 | by Staff Attorney

Currently financial advisor Diana Palmieri (Palmieri), currently employed by brokerage firm Vanderbilt Securities, LLC has been subject to at least one disclosable event. These events include one customer complaint. 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 with a damage request of $99,999.00 on February 08, 2024.

Clients claim investments into the non-traded REITS & BDCs between 2014-2019 were unsuitable and illiquid investments