Securities Lawyers Blog

Broker Elicia Fultz in Ameriprise Financial Services, LLC Firm Has Customer Complaint

June 27, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Elicia Fultz (Fultz), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Fultz 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 $48,263.00 on November 17, 2023.

The client alleges there were unauthorized withdrawals from his IRA account which were clearly against his instructions. The client further alleges the withdrawals had no benefit and he incurred substantial tax liability. Time Frame: April 1, 2021 to April 7, 2021

Broker Tracy Dean in Edward Jones Firm Has Customer Complaint

June 27, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on November 20, 2023.

The client alleges she informed the financial advisor that she did not want to lose any money, but was not provided money market as an investment option. The client alleges because she was not provided with all the options available to her, she should be reimbursed for any losses incurred.

Broker Jeffrey Reddick in Independent Financial Group, LLC Firm Has Customer Complaint

June 27, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Reddick (Reddick), previously associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Reddick 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 $35,000.00 on November 20, 2023.

Alleges investment was not in line with client’s stated investment objectives and risk tolerance.

There are Recent Customer Complaints with Broker Christopher Grano in Firm LPL Financial LLC

June 27, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Grano (Grano), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Grano 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 $370,000.00 on November 17, 2023.

Claimants allege suitability, misrepresentation, and negligence

Broker Kevin Peters in Equitable Advisors, LLC Firm Has Customer Complaint

June 27, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on November 21, 2023.

Claimant alleges REIT purchased was unsuitable.

There are Recent Customer Complaints with Broker Mark Wilburn in Firm LPL Financial LLC

June 27, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Wilburn (Wilburn), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Wilburn 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 $2,000,000.00 on November 20, 2023.

Customer alleges that investments made in ETFs and variable annuities during the time period January 2020 to March 2022 were inappropriate for the customer’s investment objectives and risk tolerance, and that representative made alleged misrepresentations concerning the investments.

Broker Andrew Polis in Wells Fargo Clearing Services, LLC Firm Has Customer Complaint

June 27, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andrew Polis (Polis), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Polis 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 $85,000.00 on November 20, 2023.

Arbitration: Beginning in 2020, Claimant alleges his Financial Advisor (FA) made unauthorized purchases in Claimant’s account.\, Complaint: Customer complained that the financial advisor placed him in CDs that were longer term than instructed. (7/13/2020-7/18/2023)

Broker Kathy Busch in Independent Financial Group, LLC Firm Has Customer Complaint

June 27, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kathy Busch (Busch), previously associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Busch 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 $50,000.00 on November 20, 2023.

Claim alleges investment was not suitable and was not in line with Claimant’s investment objectives and risk tolerance.

There are Recent Customer Complaints with Broker Stephen Hecker in Firm Fortune Financial Services, INC.

June 27, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stephen Hecker (Hecker), currently associated with Fortune Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Hecker 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 $55,000.00 on November 20, 2023.

Client alleges that rep mistakenly moved money from the guaranteed interest rate portion of a variable annuity into sub-accounts that invested into the stock market thus causing the client to suffer losses

Broker Leonard Rich in Joseph Gunnar & CO. LLC Firm Has Customer Complaint

June 27, 2025 | by Staff Attorney

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Leonard Rich (Rich), currently associated with Joseph Gunnar & CO. LLC, has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Rich concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.

FINRA BrokerCheck shows a award / judgment customer complaint with a damage request of $45,700.00 on November 21, 2023.

The client was onboarded in 2018. The client claims the broker Completed Ms. [REDACTED]’s Account Opening Forms by Inputting Incorrect Investment Objectives and Risk Tolerances and engaged in excessive trading, and the firm ignored red flags in regard to these issues.