Reg BI

There are Recent Customer Complaints with Broker Jonas Roddenberry in Firm Edward Jones

May 13, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jonas Roddenberry (Roddenberry), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Roddenberry 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 $10,000.00 on April 02, 2026.

The client alleges they were told there would be minimal tax implications in the selling Broadcom stock. After the sale, the client discovered it triggered a significant repayment of Marketplace health insurance subsidies.

Broker Eric Bell in Emerson Equity LLC Firm Has Customer Complaint

May 13, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eric Bell (Bell), currently associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bell 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 $280,000.00 on March 31, 2026.

Negligence, negligent misrepresentation and omission, breach of fiduciary duty, breach of contract, violation of Regulation Best Interest, federal securities laws, California Corporations Code violations, California common law, FINRA rule 2111 and 2010. Investment purchased 4/14/2022

Broker Cooper Carden in Northwestern Mutual Investment Services, LLC Firm Has Customer Complaint

May 13, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Cooper Carden (Carden), previously associated with Northwestern Mutual Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Carden 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 $48,000.00 on March 31, 2026.

Client alleged that the signatures on multiple application documents were not his and that he had never seen or reviewed those documents before. The client also alleged the representative misrepresented the purpose of applying for a variable insurance policy.

There are Recent Customer Complaints with Broker Eric Duca in Firm Edward Jones

May 13, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on April 01, 2026.

The custodian alleges unauthorized distributions in three 529 college accounts starting in 2023.

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

May 13, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Corey Elliott (Elliott), currently associated with Charles Schwab & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Elliott 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 $8,212.00 on April 01, 2026.

On April 1, 2026, the client alleges the representative failed to follow instructions regarding the purchase of a money market fund and made a claim for interest back to January 1, 2026.

Broker Steven Simoneaux in J.P. Morgan Securities LLC Firm Has Customer Complaint

May 13, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven Simoneaux (Simoneaux), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Simoneaux 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 $20,568.71 on April 01, 2026.

Customer alleges unsuitable investment recommendation. Activity dates 4/24/26 – 5/1/25.

There are Recent Customer Complaints with Broker Sergio Rodriguez in Firm Cetera Wealth Services, LLC

May 13, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sergio Rodriguez (Rodriguez), currently associated with Cetera Wealth Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Rodriguez 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 $5,000.00 on April 03, 2026.

Customer purchased a market-linked CD in January of 2018. Customer now alleges MLCD was misrepresented to her both in maturity date and interest payment terms.

Broker Hui Zhang in Independent Financial Group, LLC Firm Has Customer Complaint

May 13, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on April 06, 2026.

Clients allege the product was unsuitable.

Broker Kevin Birkner in Morgan Stanley Firm Has Customer Complaint

May 13, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Birkner (Birkner), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Birkner 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 $1,439,541.00 on April 09, 2026.

Claimant alleged, inter alia, misrepresentation with respect to investment recommendations- 2024 to 2025

Broker Daniel Goodwin in Great Point Capital LLC Firm Has Customer Complaint

May 13, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Goodwin (Goodwin), currently associated with Great Point Capital LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Goodwin 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 $186,756.35 on April 06, 2026.

Client claims investment recommendation was unsuitable in view of his financial situation, investment objectives and risk tolerance.