Securities Lawyers Blog

Broker Howard Hsieh in Cetera Investment Services LLC Firm Has Customer Complaint

April 13, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on March 05, 2025.

Claimants allege unsuitable investment recommendations.

There are Recent Customer Complaints with Broker Ellen Lau in Firm LPL Financial LLC

April 13, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on March 05, 2025.

Claimants allege unsuitable investment recommendations.

Broker Bruce Theuerkauf in Wells Fargo Clearing Services, LLC Firm Has Customer Complaint

April 13, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bruce Theuerkauf (Theuerkauf), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Theuerkauf 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 $15,616.00 on March 07, 2025.

Clients complain Financial Advisors purchased discounted bonds without authorization, resulting in loss of state income tax benefit. (5/17/2022-3/7/2025)

Broker Greg Waldman in Morgan Stanley Firm Has Customer Complaint

April 13, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on March 05, 2025.

Claimants allege inter alia, unsuitability with respect to concentrated municipal bonds investment – 2018 to 2025

There are Recent Customer Complaints with Broker Jeff Jin in Firm Merrill Lynch, Pierce, Fenner & Smith Incorporated

April 13, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeff Jin (Jin), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Jin recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on March 05, 2025.

Claimants allege unsuitable investment recommendations.

Broker Haiguang Yin in Packerland Brokerage Services, INC. Firm Has Customer Complaint

April 13, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on March 05, 2025.

Claimants allege unsuitable investment recommendations.

There are Recent Customer Complaints with Broker Mark Specker in Firm UBS Financial Services INC.

April 13, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Specker (Specker), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Specker 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 $968,450.00 on March 05, 2025.

Time frame: 2024-present\, Allegations: Claimants’ counsel alleges financial advisor erroneously transferred certain stock shares into a retirement account resulting in the loss of a tax benefit.

Broker Isaac Chan in J.P. Morgan Securities LLC Firm Has Customer Complaint

April 13, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on March 05, 2025.

Claimants allege unsuitable investment recommendations.

There are Recent Customer Complaints with Broker Nicole Hiller in Firm UBS Financial Services INC.

April 13, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nicole Hiller (Hiller), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Hiller 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 $968,450.00 on March 05, 2025.

Time frame: 2024-present\, Allegations: Claimants’ counsel alleges financial advisor erroneously transferred certain stock shares into a retirement account resulting in the loss of a tax benefit.

Broker Glenn Wittpenn in Wells Fargo Clearing Services, LLC Firm Has Customer Complaint

April 13, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Glenn Wittpenn (Wittpenn), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Wittpenn 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 $15,616.00 on March 07, 2025.

Clients complain Financial Advisors purchased discounted bonds without authorization, resulting in loss of state income tax benefit. (5/17/2022-3/7/2025)