Securities Lawyers Blog

Broker Michael Sullum in Commonwealth Financial Network Firm Has Customer Complaint

December 1, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on April 05, 2022.

Claimant alleges the RR recommended an unsuitable Oil & Gas investment.

There are Recent Customer Complaints with Broker Brent Makarczyk in Firm Ameriprise Financial Services, LLC

December 1, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brent Makarczyk (Makarczyk), currently associated with Ameriprise Financial Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Makarczyk 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 $414,500.00 on April 01, 2022.

Claimants allege that in around 2010, they were sold two unsuitable variable life insurance policies and a variable annuity.

Broker Michael Welch in Kalos Capital, INC. Firm Has Customer Complaint

December 1, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on April 01, 2022.

Recommending and selling securities without adequate due diligence, breach of contract

Broker Jeffrey Bruhn in Tiaa-cref Individual & Institutional Services, LLC Firm Has Customer Complaint

December 1, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Bruhn (Bruhn), previously associated with Tiaa-cref Individual & Institutional Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bruhn 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 $49,938.25 on April 07, 2022.

The client alleges he was given incorrect information concerning a frequent trading policy and as a result lost earnings on his investments.

There are Recent Customer Complaints with Broker Kimberly Parker Hansen in Firm LPL Financial LLC

December 1, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 31, 2022.

Customer alleges the managed account recommended to her was not in her best interests and that the performance.

There are Recent Customer Complaints with Broker Michael Binstock in Firm Creativeone Securities, LLC

December 1, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Binstock (Binstock), currently associated with Creativeone Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Binstock 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 $212,000.00 on April 08, 2022.

Client is claiming the rep lied to him. Committed fraud in the way of explaining products and income to him

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

December 1, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 30, 2022.

Time Frame: January 3, 2022 to March 30, 2022 \, \, The client alleges his Financial Advisor failed to invest the account as instructed. The alleged damages are alleged to be estimated to be in excess of $5,000.00.

Broker William Buikema in Nylife Securities LLC Firm Has Customer Complaint

December 1, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 31, 2022.

Customer alleges that on January 24, 2022, 50 shares of TESLA Stock were sold without her authorization. Customer wishes to be made whole.

Broker Daniel Wildermuth in Wildermuth Securities, LLC Firm Has Customer Complaint

December 1, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on April 07, 2022.

Unsuitable investment, breach of fiduciary duty, negligence, breach of contract, and failure to supervise.

Broker Beverly Cox in LPL Financial LLC Firm Has Customer Complaint

December 1, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Beverly Cox (Cox), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Cox 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 $44,924.00 on March 29, 2022.

Client alleges she received poor advice from her representative sometime in 2021 related to indirect rollover transactions which created a large tax liability.