Reg BI

There are Recent Customer Complaints with Broker Scott Doll in Firm LPL Financial LLC

May 9, 2026 | by Staff Attorney

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

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

Customer alleges unauthorized trading in two accounts. Activity period: March 13 – 18, 2020.

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

May 9, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Vincent Lewis (Lewis), previously associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Lewis 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 $130,000.00 on April 27, 2020.

The customer alleges misrepresentations were made regarding trading activity on July 5, 2019.

Broker Alicia Huburn in Tiaa-cref Individual & Institutional Services, LLC Firm Has Customer Complaint

May 8, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alicia Huburn (Huburn), currently associated with Tiaa-cref Individual & Institutional Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Huburn recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on May 06, 2020.

In the Arbitration statement of claim, the client alleges that the representative did not follow his instructions to liquidate funds from a specific account in March 2018. The client claims that his disability premiums were discontinued and forfeited due to the withdrawal from his Retirement Annuity and he has suffered damages as a result.

There are Recent Customer Complaints with Broker Brian Endicott in Firm Fidelity Brokerage Services LLC

May 8, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on May 07, 2020.

Customer alleged that representative did not follow his instructions regarding trading in his managed accounts.

Broker Brian Baughman in Edward Jones Firm Has Customer Complaint

May 8, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on May 04, 2020.

The client alleges the FA violated a duty of care by recommending unsuitable investments based upon the client’s stated needs.

Broker Timothy Cunningham in Benjamin F. Edwards & Company, INC. Firm Has Customer Complaint

May 8, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Timothy Cunningham (Cunningham), currently associated with Benjamin F. Edwards & Company, INC., has at least one disclosable event. These events include one customer complaint, alleging that Cunningham 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 $2,457.00 on May 03, 2020.

Client alleges unauthorized trading regarding mutual fund investment. Activity dates 03/17/2020-03/17/2020.

There are Recent Customer Complaints with Broker Brian Lindsay in Firm Morgan Stanley

May 8, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on May 06, 2020.

Client alleges that he gave instructions in September 2019 to reallocate his account to all no-risk investments and his instructions were not followed. Damages unspecified

Broker Michael Hartman in Wells Fargo Clearing Services, LLC Firm Has Customer Complaint

May 8, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on May 04, 2020.

Client complained that financial advisor failed to inform her that a ROTH IRA cannot be funded with income that has been received via the Foreign Earned Exchange Income tax credit, which resulted in a tax liability. (2/28/2013)

There are Recent Customer Complaints with Broker Joseph Medina in Firm Infinity Financial Services

May 8, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Medina (Medina), currently associated with Infinity Financial Services, 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 with a damage request of $53,060.86 on May 01, 2020.

Unsuitable investments

Broker Anthony Fusco in Legend Securities, INC. Firm Has Customer Complaint

May 8, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Anthony Fusco (Fusco), previously associated with Legend Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Fusco 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 $345,369.00 on May 06, 2020.

Fusco was named in a customer complaint that asserted the following causes of action: the firm failed to supervise their accounts. In addition, each claimant contends that their account(s) were: solicited with unsuitable investments, overly concentrated, churned for the purpose of obtaining excessive commissions, and that the Respondents failed to “Know Their Customers” as required by their duties as registered representatives. Fusco was the compliance officer of the firm and supervisory of the registered representatives.