Securities Lawyers Blog

There are Recent Customer Complaints with Broker Erik Jolliff in Firm Edward Jones

January 20, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on October 21, 2021.

Client alleges he incurred unintended tax consequences after following the Financial Advisor’s advice in contributing to a SEP IRA and Roth IRA.

Broker Frank Van Houten in LPL Financial LLC Firm Has Customer Complaint

January 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Frank Van Houten (Van Houten), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Van Houten 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 $100,000.00 on October 22, 2021.

Claimant alleges FA recommended unsuitable investment in an offshore product whose issuer is no longer solvent and is under liquidation order. Allegation Activity Dates: 12/29/2014 – 6/3/2020.

There are Recent Customer Complaints with Broker Andrew Hall in Firm Edward Jones

January 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andrew Hall (Hall), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Hall 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 $100,000.00 on October 25, 2021.

Claimants assert various claims relating to alleged unsuitable purchases of municipal bonds, certificates of deposit, and a real estate investment trust in 2013 and 2014.

Broker Wilfredo Ortiz Aponte in Pariter Securities, LLC Firm Has Customer Complaint

January 20, 2026 | by Staff Attorney

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Wilfredo Ortiz Aponte (Ortiz Aponte), previously associated with Pariter Securities, LLC, has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Ortiz Aponte concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $99,000.00 on October 25, 2021.

The accusations include, but are not limited to, unsuitability, misrepresentation, breach of fiduciary \, responsibilities, churning, and breach of contract

There are Recent Customer Complaints with Broker Charles Bloom in Firm Chelsea Financial Services

January 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Charles Bloom (Bloom), previously associated with Chelsea Financial Services, has at least one disclosable event. These events include one customer complaint, alleging that Bloom 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 $75,000.00 on October 25, 2021.

UNSUITABLE RECOMMENDATION, VIOLATION OF FINRA 3110, BREACH OF FIDUCIARY DUTY, NEGLIGENCE

There are Recent Customer Complaints with Broker James Bowdish in Firm Edward Jones

January 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Bowdish (Bowdish), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Bowdish 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 $1,000,000.00 on October 20, 2021.

Plaintiffs allege that during the time period of December 5, 2017, Defendants failed to make timely life insurance premiums and therefore allowed the policy to lapse.

There are Recent Customer Complaints with Broker Steven Knuttila in Firm Capital Financial Services, INC.

January 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven Knuttila (Knuttila), previously associated with Capital Financial Services, INC., has at least 3 disclosable events. These events include 2 customer complaints, one regulatory event, alleging that Knuttila recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on October 18, 2021.

Respondent Knuttila failed to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA request to provide information concerning the status of compliance.

There are Recent Customer Complaints with Broker Eugene Heflin in Firm LPL Financial LLC

January 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eugene Heflin (Heflin), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Heflin 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 $23,000.00 on October 19, 2021.

Customer alleges that in March of 2020 the registered representative failed to follow instructions to purchase certain equities.

Broker Brenda Stone in Allstate Financial Services, LLC Firm Has Customer Complaint

January 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brenda Stone (Stone), previously associated with Allstate Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Stone 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 $7,000.00 on October 20, 2021.

Customer alleges that representative did not invest her monies into a growth fund after her account was transferred to a new custodian. Customer alleges she has lost between $7,000 and $10,000 in missed earnings as the money remained in a money market fund for the past 19 months. Activity period is April 2020 to present.

Broker Abed Lulu in Worden Capital Management LLC Firm Has Customer Complaint

January 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Abed Lulu (Lulu), previously associated with Worden Capital Management LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lulu 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 $49,000.00 on October 15, 2021.

Client alleges unsuitability, unauthorized trading for trading activity in 2014 and 2015