Securities Lawyers Blog

Broker Trang Tran in RBC Capital Markets, LLC Firm Has Customer Complaint

July 26, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 20, 2020.

Client alleges failure to follow instructions on March 11, 2020.

Broker David Muma in Nylife Securities LLC Firm Has Customer Complaint

July 26, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 19, 2020.

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Broker Stephen Denari in Osaic Wealth, INC. Firm Has Customer Complaint

July 26, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stephen Denari (Denari), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Denari 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 $900,000.00 on March 18, 2020.

Claimants allege an unsuitable investment strategy beginning in 2005.

Broker Derek Vance in UBS Financial Services INC. Firm Has Customer Complaint

July 26, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Derek Vance (Vance), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Vance 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 $8,081.23 on March 18, 2020.

Time Frame: March 6, 2020 to March 17, 2020 The client alleges he was not informed he could lose money in his investment and that there was no risk.

Broker Jennifer Ibarguen in Ameriprise Financial Services, LLC Firm Has Customer Complaint

July 26, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jennifer Ibarguen (Ibarguen), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Ibarguen 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 $250,000.00 on March 18, 2020.

Plaintiff alleges the advisor made misrepresentations in recommending withdrawing funds from his inherited IRA in the amount of $76,473.86.

There are Recent Customer Complaints with Broker Jeanann Kramer in Firm LPL Financial LLC

July 26, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeanann Kramer (Kramer), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kramer 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 $11,475.00 on March 18, 2020.

In the financial industry advisors must meet the requirements of the SEC’s Regulation Best Interest (Reg BI) in providing investment advice and services. Reg BI established a ‘best interest’ standard for brokerage firms and registered representatives. This standard applies when a registered representative is providing investment advice through making recommendations customers and covers securities transaction, investment strategies, and recommendations concerning advice on opening of an account or accounts. This standard applies when a registered representative is providing investment advice through making recommendations customers and covers securities transaction, investment strategies, and recommendations concerning advice on opening of an account or accounts.

There are Recent Customer Complaints with Broker Brittney Sias in Firm Western International Securities, INC.

July 26, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brittney Sias (Sias), previously associated with Western International Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Sias 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 $250,000.00 on March 19, 2020.

Unsuitable Recommendations

There are Recent Customer Complaints with Broker Robert Lattig in Firm Wells Fargo Advisors Financial Network, LLC

July 26, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 19, 2020.

The customer alleges unsuitable investment recommendations.

Broker John Kwit in Park Avenue Securities LLC Firm Has Customer Complaint

July 26, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Kwit (Kwit), previously associated with Park Avenue Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kwit 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 $125,000.00 on March 19, 2020.

Former clients alleged that in 2018 mr. Kwit liquidated investments resulting in excessive capital gains and principal losses

There are Recent Customer Complaints with Broker Jerry Lopez in Firm Valic Financial Advisors, INC.

July 26, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jerry Lopez (Lopez), currently associated with Valic Financial Advisors, INC., has at least one disclosable event. These events include one customer complaint, alleging that Lopez 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 March 19, 2020.

Client alleged she met with her representative in July of 2019 and had requested he secure her account in a fixed interest option, which he neglected to do.