Reg BI

Broker Bryce Jones in Independent Financial Group, LLC Firm Has Customer Complaint

July 10, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bryce Jones (Jones), currently associated with Independent Financial Group, LLC, 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 September 01, 2023.

Claimant alleges unsuitable investment recommendations and failure to follow instructions in March 2021.

There are Recent Customer Complaints with Broker Jay Nova in Firm Charles Schwab & Co., INC.

July 10, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jay Nova (Nova), previously associated with Charles Schwab & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Nova 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 $15,829.66 on September 04, 2023.

Client alleges representative provided poor investment advice between January 13, 2023, and July 19, 2023.

Broker Christiana Webb in Truist Investment Services, INC. Firm Has Customer Complaint

July 10, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christiana Webb (Webb), currently associated with Truist Investment Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Webb 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 $1,500,000.00 on August 31, 2023.

Client alleges, inter alia, that her accounts were not managed in her best interests 2021-2023

There are Recent Customer Complaints with Broker Acie Hylton in Firm Truist Investment Services, INC.

July 10, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on August 30, 2023.

Client alleges the investment was misrepresented and that they expected a fix rate of return when they agreed to the investment on July 30 2021.

There are Recent Customer Complaints with Broker Michael Nielson in Firm Ifp Securities, LLC

July 10, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Nielson (Nielson), currently associated with Ifp Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Nielson 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 $150,000.00 on August 31, 2023.

Client alleges Mr. Neilson improperly recommended a high risk, high commission illiquid alternative investment, namely, GWG Holdings, Inc. and that Mr. Neilson misrepresented the investment to them and that it was inconsistent with their financial situation and needs, investment objectives and their risk tolerance.

There are Recent Customer Complaints with Broker Robert Rumley in Firm William Blair

July 10, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Rumley (Rumley), currently associated with William Blair, has at least one disclosable event. These events include one customer complaint, alleging that Rumley 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 $1,500,000.00 on August 31, 2023.

CLIENT ALLEGES, INTER ALIA, THAT HER ACCOUNTS WERE NOT MANAGED IN HER BEST INTERESTS 2013-2021

There are Recent Customer Complaints with Broker Eszylfie Taylor in Firm Cetera Advisor Networks LLC

July 10, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eszylfie Taylor (Taylor), previously associated with Cetera Advisor Networks LLC, has at least one disclosable event. These events include one customer complaint, alleging that Taylor 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 $150,000.00 on August 30, 2023.

Misrepresentation and omission of material fact concerning two investments is alleged.

There are Recent Customer Complaints with Broker Gregory Lourdin in Firm Newbridge Securities Corporation

July 10, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gregory Lourdin (Lourdin), currently associated with Newbridge Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Lourdin 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 $58,000.00 on August 31, 2023.

SUITABILITY, FAILURE TO SUPERVISE AND NEGLIGENCE.

There are Recent Customer Complaints with Broker Michael Battalini in Firm World Capital Brokerage, INC.

July 10, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Battalini (Battalini), previously associated with World Capital Brokerage, INC., has at least one disclosable event. These events include one customer complaint, alleging that Battalini 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 $300,000.00 on August 30, 2023.

Claimant alleges unsuitable investments.

There are Recent Customer Complaints with Broker Mark Elias in Firm UBS Financial Services INC.

July 10, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Elias (Elias), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Elias 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 $700,000.00 on September 01, 2023.

Time frame: 2016-2020\, \, Allegations: Claimant alleges unsuitability and misrepresentation with respect to recommendations to invest in and hold an options overlay strategy.