Securities Lawyers Blog

Broker Joshua Thalacker in Northwestern Mutual Investment Services, LLC Firm Has Customer Complaint

April 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joshua Thalacker (Thalacker), currently associated with Northwestern Mutual Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Thalacker 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 $20,000.00 on February 13, 2025.

Customer alleges that representative misrepresented the features of the variable universal life insurance policy and the policy was sold as a solution for retirement planning

Broker Kevin Barth in Edward Jones Firm Has Customer Complaint

April 17, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on February 13, 2025.

The client alleges unauthorized trades resulting in tax consequences.

Broker William Casale in the Huntington Investment Company Firm Has Customer Complaint

April 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Casale (Casale), currently associated with the Huntington Investment Company, has at least one disclosable event. These events include one customer complaint, alleging that Casale 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 $5,000.00 on February 05, 2025.

Client alleged that the advisor did not disclose the tax consequences of withdrawing funds from their IRA account.

Broker Jessica Healy in Metropolitan Capital Investment Banc, INC. Firm Has Customer Complaint

April 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jessica Healy (Healy), previously associated with Metropolitan Capital Investment Banc, INC., has at least one disclosable event. These events include one customer complaint, alleging that Healy 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 $163,672.00 on February 12, 2025.

Claimant alleges Healy made an unsuitable investment recommendation.

Broker Scott Wedige in Northwestern Mutual Investment Services, LLC Firm Has Customer Complaint

April 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Scott Wedige (Wedige), currently associated with Northwestern Mutual Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Wedige 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 $20,000.00 on February 13, 2025.

Customer alleges that representative misrepresented the features of the variable universal life insurance policy and the policy was sold as a solution for retirement planning

Broker Samuel Bernard in LPL Financial LLC Firm Has Customer Complaint

April 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Samuel Bernard (Bernard), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bernard 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 $36,000.00 on February 14, 2025.

Customer alleges that the terms of a CD were misrepresented when sold to him in 2017.

Broker Fred Fryer in Raymond James Financial Services, INC. Firm Has Customer Complaint

April 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Fred Fryer (Fryer), currently associated with Raymond James Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Fryer 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 $55,423.00 on February 13, 2025.

Client alleged advisor gave incorrect advice regarding IRA rollover rules resulting in a tax implication. Allegation Activity Dates: 7/01/2024 – 9/10/2024.

There are Recent Customer Complaints with Broker William Tenpenny in Firm Edward Jones

April 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Tenpenny (Tenpenny), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Tenpenny 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 $1,750,000.00 on February 10, 2025.

Attorney for client alleges a real estate transaction between client and financial advisor amounted to a fraudulent transaction, alleging the financial advisor induced the client to sell the property for a price below fair market value

There are Recent Customer Complaints with Broker Chad Noble in Firm Ameriprise Financial Services, LLC

April 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Chad Noble (Noble), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Noble 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 $90,000.00 on February 07, 2025.

Claimant alleges overconcentration and unsuitable investment in alternative investments.

There are Recent Customer Complaints with Broker Peter Gobis in Firm Edward Jones

April 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Peter Gobis (Gobis), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Gobis 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 $108,000.00 on February 10, 2025.

The client alleges the financial advisor misrepresented the Protective VUL policy stating her obligation was complete with paying the initial premium to fund the policy.