Securities Lawyers Blog

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

February 17, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on May 14, 2021.

The customer alleges a misrepresentation was made in May 2021.

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

February 17, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Adam Kaplan (Kaplan), previously associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Kaplan 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 $4,160.27 on May 12, 2021.

[redacted] placed a formal complaint with the sec that his adviser fees were in the 2.5-3% range with a signed agreement stating fees should be 1%

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

February 17, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Kaplan (Kaplan), previously associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Kaplan 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 $4,160.27 on May 12, 2021.

[redacted] placed a formal complaint with the sec that his adviser fees were in the 2.5-3% range with a signed agreement stating fees should be 1%

There are Recent Customer Complaints with Broker Robert Armstrong in Firm Dawson James Securities, INC.

February 17, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Armstrong (Armstrong), previously associated with Dawson James Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Armstrong 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 $2,330,000.00 on May 12, 2021.

Customer claims that rep’s failure to sell shares of a sub NASDAQ security not held at rep’s clearing firm resulted in lost profits of approximately $2,000,000.00. This occurred, per the customer, during February 2021. UPDATE 8/31/22. Arbitration received by firm on 8/29/22. Customer alleges in statement of claim breach of fiduciary duty and neglicence in regards to unsold shares of HCMC.

There are Recent Customer Complaints with Broker Ryan Lurie in Firm UBS Financial Services INC.

February 17, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ryan Lurie (Lurie), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Lurie 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 $60,000.00 on May 13, 2021.

Claimant alleges respondent recommended unsuitable investments, misrepresented or omitted material information, and failed to supervise the advisor during the time period July 2018-September 2020.

There are Recent Customer Complaints with Broker Kyle Bruns in Firm Sa Stone Wealth Management INC.

February 17, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kyle Bruns (Bruns), previously associated with Sa Stone Wealth Management INC., has at least one disclosable event. These events include one customer complaint, alleging that Bruns 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 $15,000.00 on May 14, 2021.

Customer alleged that a reallocation into a managed account portfolio was done without her authorization

There are Recent Customer Complaints with Broker Charles Gore Ii in Firm LPL Financial LLC

February 17, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Charles Gore Ii (Gore Ii), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Gore 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 $18,000.00 on May 11, 2021.

Claimants allege that in 2014 representative recommended they invest in a Real Estate Investment Trust (‘REIT’) that was unsuitable for the their risk tolerance and also failed to advise the claimant about the REIT’s risks and commissions.

There are Recent Customer Complaints with Broker Fred Krepps in Firm D.a. Davidson & CO.

February 17, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on May 13, 2021.

Client was disappointed she was provided inaccurate information related to charitable gifting from her annuity. 9/8/2020 – 05/13/2021.

Broker John Howell in PFS Investments INC. Firm Has Customer Complaint

February 17, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on May 13, 2021.

In October 2025, the Firm learned of an order dated May 13, 2021 from a civil case wherein it was found that the Representative violated Utah and Federal securities laws by selling unregistered securities without being licensed, and the Representative was ordered to disgorge the commissions received for such sales. The Representative did not disclosed the order to the Firm, nor did he disclose this activity to the Firm. Upon learning of the Order, the Firm terminated the Representative.

There are Recent Customer Complaints with Broker Robert Douglass in Firm Arkadios Capital

February 17, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Douglass (Douglass), currently associated with Arkadios Capital, has at least one disclosable event. These events include one customer complaint, alleging that Douglass 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 May 14, 2021.

Claimant, through Power of Attorney, alleges the registered rep recommended an unsuitable investment. Activity dates 2008-2021.