Reg BI

Broker Richard Stoyeck in Titus Rockefeller, LLC Firm Has Customer Complaint

January 27, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint on August 20, 2021.

Respondent Stoyeck 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.

Broker Carl Lee in Thoroughbred Financial Services, LLC Firm Has Customer Complaint

January 27, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Carl Lee (Lee), currently associated with Thoroughbred Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lee 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 $10,000.00 on August 23, 2021.

I gave $10,000 of [REDACTED] and $10,000 of my own money to a local builder to start a spec home. I did not disclose this outside activity to my prior firm at the time. The builder disappeared with the funds shortly thereafter . I promised [REDACTED] profits from another LP investment that I had but that LP did not generate a profit and closed in the mid 90’s. I did not disclose the loss to my client until a letter was received from [REDACTED] inquiring as to the status of the LP. On 9/1/2021 all disclosure was made to [REDACTED] and $10,000 was paid to him by TFS on 9/3/2021

There are Recent Customer Complaints with Broker Francis Searing in Firm Cetera Advisor Networks LLC

January 27, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Francis Searing (Searing), previously associated with Cetera Advisor Networks LLC, has at least one disclosable event. These events include one customer complaint, alleging that Searing 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 $52,000.00 on August 16, 2021.

Claimant alleges that their registered representative recommended unsuitable investments.

Broker James Mcisaac in Crown Capital Securities, L.p. Firm Has Customer Complaint

January 27, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Mcisaac (Mcisaac), previously associated with Crown Capital Securities, L.p., has at least one disclosable event. These events include one customer complaint, alleging that Mcisaac 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 $125,000.00 on August 19, 2021.

The customer alleges unsuitable recommendations, misrepresentations, and breach of fiduciary duty as it relates to their purchase of alternative investments.

There are Recent Customer Complaints with Broker Scarlett Ramsey in Firm Nylife Securities LLC

January 26, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint on August 31, 2021.

Respondent Ramsey failed to respond to FINRA requests for information.

Broker Melissa Roque in Citigroup Global Markets INC. Firm Has Customer Complaint

January 26, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Melissa Roque (Roque), previously associated with Citigroup Global Markets INC., has at least one disclosable event. These events include one customer complaint, alleging that Roque 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 $60,399.00 on August 25, 2021.

Customer alleges suitability and poor performance.

There are Recent Customer Complaints with Broker Roy Pfeffer in Firm Morgan Stanley

January 26, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on August 24, 2021.

CLIENT ALLEGED, INTER ALIA, THAT THE PURCHASE OF AN ALTERNATIVE INVESTMENT CRYPTOCURRENCY FUND WAS MISREPRESENTED. – May 2021 to June 2021

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

January 26, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on August 31, 2021.

The customer alleges failure to follow instructions in March 2020 and December 2020.

Broker Chad Schiel in Independent Financial Group, LLC Firm Has Customer Complaint

January 26, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Chad Schiel (Schiel), currently associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Schiel 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 September 01, 2021.

Allege investments were not suitable and that there was an overconcentration of illiquid products.

There are Recent Customer Complaints with Broker Steven Vander Velde in Firm Private Client Services, LLC

January 26, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven Vander Velde (Vander Velde), currently associated with Private Client Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Vander Velde 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 24, 2021.

Client alleges the FP recommended the purchase of several high-risk alternative investments which were not suitable giving her investment objective and risk tolerance.