Securities Lawyers Blog

There are Recent Customer Complaints with Broker Kenneth Rudzinski in Firm Osaic Wealth, Inc.

March 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kenneth Rudzinski (Rudzinski), currently associated with Osaic Wealth, Inc., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Rudzinski 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 October 28, 2024.

Claimant alleges their RR recommended an unsuitable Oil and Gas investment.

There are Recent Customer Complaints with Broker Jeffrey Engelbrecht in Firm Pnc Investments

March 2, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Engelbrecht (Engelbrecht), currently associated with Pnc Investments, has at least one disclosable event. These events include one customer complaint, alleging that Engelbrecht 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 $12,389.00 on October 28, 2024.

Customer alleges the liquidation of a security as part of an account transfer was unexpected and resulted in unanticipated tax consequences.

There are Recent Customer Complaints with Broker Michael Mcfeeley in Firm LPL Financial LLC

March 2, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Mcfeeley (Mcfeeley), currently associated with LPL Financial LLC, has at least 9 disclosable events. These events include 9 customer complaints, alleging that Mcfeeley 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 October 28, 2024.

Claimant alleges their RR recommended an unsuitable Oil and Gas investment.

Broker Jared Hoffman in Ameriprise Financial Services, LLC Firm Has Customer Complaint

March 2, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jared Hoffman (Hoffman), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hoffman 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 October 28, 2024.

The client alleged the advisor failed to act upon her requests to complete Roth conversions multiple times between December 2023 and July 2024.

Broker Vincent Catalano in Cambridge Investment Research, Inc. Firm Has Customer Complaint

March 2, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Vincent Catalano (Catalano), currently associated with Cambridge Investment Research, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Catalano 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 $25,000.00 on October 28, 2024.

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

There are Recent Customer Complaints with Broker Brent Fuchs in Firm Osaic Wealth, Inc.

March 2, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brent Fuchs (Fuchs), currently associated with Osaic Wealth, Inc., has at least 9 disclosable events. These events include 9 customer complaints, alleging that Fuchs 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 $75,000.00 on October 28, 2024.

Claimants allege the RR recommended an unsuitable Oil and Gas investment.

There are Recent Customer Complaints with Broker Avi Frohlichman in Firm Lincoln Financial Securities Corporation

March 2, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Avi Frohlichman (Frohlichman), previously associated with Lincoln Financial Securities Corporation, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Frohlichman 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 $47,000.00 on October 28, 2024.

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

There are Recent Customer Complaints with Broker Elizabeth Liechty in Firm LPL Financial LLC

March 2, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Elizabeth Liechty (Liechty), currently associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Liechty 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 $63,000.00 on October 28, 2024.

Claimant alleges their RR recommended an unsuitable Oil and Gas investment.

There are Recent Customer Complaints with Broker Ray Gallette in Firm Coastal Equities, Inc.

March 2, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ray Gallette (Gallette), previously associated with Coastal Equities, Inc., has at least 7 disclosable events. These events include 7 customer complaints, alleging that Gallette 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 $239,000.00 on October 28, 2024.

The claimant alleges unsuitable investment recommendations.

Broker Richard Brownstein in Lincoln Financial Advisors Corporation Firm Has Customer Complaint

March 2, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Brownstein (Brownstein), previously associated with Lincoln Financial Advisors Corporation, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Brownstein 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 October 28, 2024.

Claimant alleges the RR recommended an unsuitable Oil & Gas Investment