Securities Lawyers Blog

There are Recent Customer Complaints with Broker Samuel Choice in Firm Vanguard Marketing Corporation

May 4, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on June 01, 2020.

Client alleges the representative denied him access to make trades on his account. Activity occurred between March 24, 2020, through April 2, 2020.

There are Recent Customer Complaints with Broker Carolina Medina in Firm Morgan Stanley

May 4, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on May 27, 2020.

Client alleges, inter alia, that purchases and concentration of hertz bonds in her portfolio were unsuitable. 2019 – 2020 damages unspecified

There are Recent Customer Complaints with Broker Gary Cecchett in Firm Morgan Stanley

May 4, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on May 28, 2020.

Client verbally alleged misrepresentation with respect to mutual fund investment – March 2020.

There are Recent Customer Complaints with Broker Margaret Wiley in Firm Steward Partners Investment Solutions, LLC

May 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Margaret Wiley (Wiley), currently associated with Steward Partners Investment Solutions, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Wiley 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 $7,811.36 on May 28, 2020.

Client alleges advisor misrepresented annuity payout options. Alleged Activity dates: 12/19/19 – 2/01/2020.

There are Recent Customer Complaints with Broker Molly Grubb in Firm Cambridge Investment Research, INC.

May 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Molly Grubb (Grubb), previously associated with Cambridge Investment Research, INC., has at least one disclosable event. These events include one customer complaint, alleging that Grubb 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 May 29, 2020.

Clients allege that RR misrepresented the products sold to them. Allegations were made that the products purchased were unsuitable for their risk tolerance and inexperienced investing.

There are Recent Customer Complaints with Broker Thomas Starkey in Firm Equitable Advisors, LLC

May 4, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on June 01, 2020.

Client alleges misrepresentation in the sale of an insurance policy in 2018.

There are Recent Customer Complaints with Broker Christopher Watts in Firm Maplewood Investments, INC.

May 4, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on May 27, 2020.

Financial Advisors providing advice to retail investors are required to adhere to the SEC’s Regulation Best Interest (Reg BI). Reg BI applies a ‘best interest’ standard for broker-dealers and their associated people. This standard applies when brokers make recommendations to retail customer for any securities transaction or investment strategy involving securities, including recommendations of types of accounts. This standard applies when brokers make recommendations to retail customer for any securities transaction or investment strategy involving securities, including recommendations of types of accounts.

Broker Michael Turner in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

May 4, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on May 27, 2020.

The customer alleges misrepresentations and failure to follow instructions from May 2019 through May 2020.

There are Recent Customer Complaints with Broker Craig Guinta in Firm Ameriprise Financial Services, LLC

May 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Craig Guinta (Guinta), previously associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Guinta 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 $49,999.99 on June 01, 2020.

Client through attorney, alleges breach of fiduciary duty, misrepresentation and unsuitable investment recommendations by RR from August 2012 through October 2016.

There are Recent Customer Complaints with Broker Joseph Depasquale in Firm American Capital Partners, LLC

May 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Depasquale (Depasquale), currently associated with American Capital Partners, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Depasquale 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 $170,000.00 on May 26, 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. Reg BI applies when brokers recommend a retail investor engage in securities transaction or an investment strategy involving one or more securities. Reg BI also applies to financial advice concerning the transfer of funds and opening of accounts. Reg BI applies when brokers recommend a retail investor engage in securities transaction or an investment strategy involving one or more securities. Reg BI also applies to financial advice concerning the transfer of funds and opening of accounts.