Securities Lawyers Blog

There are Recent Customer Complaints with Broker Christopher Coppola in Firm Ameriprise Financial Services, LLC

October 29, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Coppola (Coppola), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Coppola 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 $627,500.00 on September 25, 2025.

Claimant alleges Respondents did not place market orders for an IPO on behalf of Claimant.

Broker Walter Nelson in Cabin Securities, INC. Firm Has Customer Complaint

October 29, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Walter Nelson (Nelson), currently associated with Cabin Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Nelson 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 $100,000.00 on September 25, 2025.

Client alleges registered representative sold unsuitable investments.

Broker James Medsker in Wells Fargo Clearing Services, LLC Firm Has Customer Complaint

October 29, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on September 24, 2025.

Claimant alleges that from 2019 through 2021, the FA failed to escalate the potential financial exploitation of the Claimant

There are Recent Customer Complaints with Broker Daniel Lerner in Firm David Lerner Associates, INC.

October 29, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Lerner (Lerner), currently associated with David Lerner Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Lerner 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 $225,000.00 on September 22, 2025.

Unsuitability, misrepresentation and omission, breach of fiduciary duty – June 9, 2017 the date of the first purchase of SOAEX to September 22, 2025 – the date the SOC was received.

There are Recent Customer Complaints with Broker Lance Hubeny in Firm Ameriprise Financial Services, LLC

October 29, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on September 24, 2025.

Plaintiffs allege that Defendants Ameriprise and Hubeny should have kept them informed of any attempted changed to Ms. Miesemer's annuity account and permitted beneficiary changes despite alleged knowledge of competency and undue influence issues.

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

October 28, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on August 30, 2025.

Customer alleges that the Registered Representative failed to follow instructions in 2024.

Broker Kelly Coulter in Thrivent Investment Management INC. Firm Has Customer Complaint

October 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kelly Coulter (Coulter), previously associated with Thrivent Investment Management INC., has at least one disclosable event. These events include one customer complaint, alleging that Coulter 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 $729,485.13 on September 03, 2025.

Client alleged funds were removed without his authorization from his accounts with Thrivent Investment Management Inc. between January 2018 and December 2020.

Broker Joseph Pikulinski in Nylife Securities LLC Firm Has Customer Complaint

October 28, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on September 04, 2025.

Customer alleges she was not aware that her variable annuity purchased in May 2016 was replaced by a new variable annuity in April 2025.

There are Recent Customer Complaints with Broker John Wilson Ii in Firm Edward Jones

October 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Wilson Ii (Wilson Ii), previously associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Wilson Ii 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 $20,000.00 on September 02, 2025.

Client gave former financial advisor $20,000.00, cash for an alleged outside investment opportunity.

Broker Aaron Puttroff in Park Avenue Securities LLC Firm Has Customer Complaint

October 28, 2025 | by Staff Attorney

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

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

The Client alleged the RR made unsuitable recommendations regarding investments in mutual funds. The Client is requesting damages for lost opportunity cost.