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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ronald Albers (Albers), currently associated with Wells Fargo Clearing Services, LLC / LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Albers 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 March 11, 2024.

Claimant alleges his Financial Advisor (FA) and Wells Fargo (WF) engaged in an active trading strategy causing Claimant losses in his account while the markets earned generational returns. Claimant claims Breach of Fiduciary Duty, Negligence and Negligent Supervision. Claimant seeks $50,000.00 in compensatory damages.

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The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Stephen Krauss (Krauss), previously employed by LPL Financial LLC has been subject to at least one disclosable event. These events include one customer complaint. According to records kept by The Financial Industry Regulatory Authority (FINRA), Krauss’s most recent customer complaint alleges that Krauss recommended unsuitable investments in structured products and makes allegations concerning misconduct relating to the handling of the customer’s accounts.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $16,502.00 on March 05, 2024.

03/28/2017 – 03/04/2024\, The client alleges that his advisor misrepresented the crediting\, on a JP Morgan S&P500 Dividend Aristocrats structured note.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eric Bilitz (Bilitz), currently associated with Vanderbilt Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bilitz 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 $8,489.81 on March 08, 2024.

The client alleged the recommendation and sale of the RiverSource Multi-Index Universal Insurance Policy by the advisor was unsuitable based on her needs and resources in June 2023 and he misrepresented the purchase of a new AIG SunAmerica Variable Annuity as a continuation of her deceased husband’s annuity in August 2023.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kurt Baldry (Baldry), currently associated with Ausdal Financial Partners, INC., has at least one disclosable event. These events include one customer complaint, alleging that Baldry 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 $350,500.00 on March 10, 2024.

Lack of due diligence, Suitability, Misrepresentation and Fraud related to purchases of iCap Equity between January 2021 and April 2022.

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

FINRA BrokerCheck shows a pending customer complaint on March 11, 2024.

Customers allege that  an investment made during the period of 2012-2014 were inappropriate for the customers investment objectives and risk tolerance.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Louis Wargo (Wargo), currently associated with Osaic Wealth, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Wargo 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 $137,000.00 on March 07, 2024.

Claimant alleges unsuitable recommendation and sale of an alternative investment.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Anson Cheong (Cheong), currently associated with Cetera Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Cheong 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 $1,054,759.37 on March 12, 2024.

Plaintiff alleges the proceeds from their investment were not received in their account.

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

FINRA BrokerCheck shows a pending customer complaint on March 12, 2024.

Plaintiff alleges purchased variable annuity policy was misrepresentated – actions necessary to preserve and maintain the guaranteed minimum death benefit and guaranteed minimum income benefit provided through the variable annuity.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Austin Arata (Arata), currently associated with Ameriprise Financial Services, LLC / Kinecta Financial & Insurance Services, has at least one disclosable event. These events include one customer complaint, alleging that Arata 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 $340,000.00 on March 11, 2024.

Claimant alleges representative made unauthorized transactions in his accounts in May 2023.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Connor Seedall (Seedall), currently associated with Dai Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Seedall 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 $329,000.00 on March 11, 2024.

Client alleges unsuitable investment recommendations in 2018 and 2019

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