Articles Tagged with Private Client Services

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven Baumrucker (Baumrucker), currently associated with Private Client Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Baumrucker 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 $25,000.00 on May 16, 2022.

The Statement of Claim alleges the financial professional recommended an investment that was unsuitable for\, his customer.

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

FINRA BrokerCheck shows a settled customer complaint on November 02, 2022.

Claimants allege that from August 2012 through the end of 2021, the financial advisor misrepresented a non-traded fund.

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

FINRA BrokerCheck shows a settled customer complaint on August 02, 2023.

Customer alleges representative made concentrated investments in customer’s accounts in alternative investment products that were inappropriate for the customer’s investment objectives. Time period 2009-2023.

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The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Garth Lurvey (Lurvey), previously employed by Private Client Services, LLC has been subject to at least one disclosable event. These events include one customer complaint. According to records kept by The Financial Industry Regulatory Authority (FINRA), Lurvey’s most recent customer complaint alleges that Lurvey recommended unsuitable investments in structured products and makes allegations concerning misconduct relating to the handling of the customer’s accounts.

FINRA BrokerCheck shows a settled customer complaint on August 21, 2023.

Customer alleges that during the time period 2017-2022, representative made unsuitable recommendations and untrue representations to the customer regarding a structured note.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Stolberg (Stolberg), currently associated with Private Client Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Stolberg 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 $500,000.00 on October 31, 2023.

Statement of Claim alleges the financial professional recommended an unsuitable investment. Claimant suggests the investment was misrepresented.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Douglas Lode (Lode), previously associated with Private Client Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lode 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 $500,000.00 on October 31, 2023.

Statement of Claim alleges the financial professional recommended an unsuitable investment. Claimant suggests the investment was misrepresented.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ahmad Quqa (Quqa), currently associated with Private Client Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Quqa 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 $715,992.00 on March 25, 2025.

Client allege his former Financial Advisor placed unauthorized trades in his accounts, rebalanced his accounts outside of investment objectives and cost him market loss upon the liquidation and subsequent investment of his real estate portfolio based on the guaranteed return represented by his Financial Advisor.

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

FINRA BrokerCheck shows a pending customer complaint on May 02, 2024.

Customer alleges that investments made in 2013-2014 were unsuitable for the customer’s investment objectives and risk tolerance.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Timothy Banks (Banks), previously associated with Private Client Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Banks recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on May 02, 2024.

Customer alleges that an investment made in 2014 was unsuitable for the customer’s investment objectives and risk tolerance.

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