Articles Tagged with Planmember Securities Corporation

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The law offices of Gana Weinstein LLP represents investors in investment disputes with their financial advisors or brokerage firms, such as Planmember Securities Corporation. Many investors do not recognize financial advisor misconduct when it happens, but there are steps that can be taken to recover investment losses. There are many different types of broker misconduct, including breach of fiduciary duty, failure to supervise, misrepresentation, and churning. The attorneys at Gana Weinstein LLP can analyze your investments to determine if there was actionable misconduct by the broker or brokerage firm.

PlanMember Securities Corporation is an independent broker-dealer and investment adviser that creates and distributes retirement plan solutions, specializing in fee-based 403(b), 457(b), and 401(k) programs for nonprofit and for-profit employers, associations, unions, and their members. Founded in 1982 and based in Carpinteria, California, the firm is considered one of the 25 largest independent broker-dealers and serves employer groups across the country.

Planmember Securities Corporation – By the Numbers:

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Troy Dueker (Dueker), currently associated with Planmember Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Dueker 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 $43,656.00  on April 23, 2026.

Client alleges that the Representative failed to follow instructions when attempting to lock in gains on a Registered Index Linked Annuity product and that the failure to reinvest the funds after moving them to cash resulted in the client losing out on significant investment gains.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lynn Morris (Morris), currently associated with Planmember Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Morris 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 $200,000.00 on September 21, 2021.

Client alleges that they were denied market gains when the Firm liquidated her position in order to process a loan in 2016 and did not reinvest the funds once the loan was processed. They allege that the Firm and their representative Ms. Morris were negligent in their duties leading to the lack of reinvestment.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Kuga (Kuga), currently associated with Planmember Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Kuga 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 $41,980.00 on October 02, 2025.

Client alleges that the Representative failed to educate her on a cheaper option for her account and did not earn the fees paid.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nicholas Keeling (Keeling), previously associated with Planmember Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Keeling 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 $13,285.00 on April 27, 2022.

Client alleged that advice provided by the representative resulted in an undiscussed capital gains impact on their taxes.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Zientarski (Zientarski), previously associated with Planmember Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Zientarski 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 $58,000.00 on November 30, 2023.

Client alleges that representative represented the variable annuity he purchased as a liquid savings investment and that, in practice, the account was subject to both surrender charges and market losses.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Pamala Reilly (Reilly), currently associated with Planmember Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Reilly 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 $36,340.69 on March 31, 2025.

Client alleges that due to the mishandling of a transfer out request, they lost $36,340.69 due to market losses.

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