Reg BI

Broker Brian Court in Aegis Capital Corp. Firm Has Customer Complaint

May 18, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 12, 2026.

Claimant alleges unsuitable investment.

There are Recent Customer Complaints with Broker Chuck Roberts in Firm Stifel, Nicolaus & Company, Incorporated

May 18, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Chuck Roberts (Roberts), previously associated with Stifel, Nicolaus & Company, Incorporated, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Roberts 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 $100,000.00 on March 12, 2026.

Claimants allege breach of fiduciary duty, negligence, fraud, breach of contract, violation of sections 10(b) and 20(a) of the Securities Exchange Act and Rule 10b-5, and violation of the Florida Securities and Investor Protection Act.

Broker William Becker in Money Concepts Capital CORP Firm Has Customer Complaint

May 18, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Becker (Becker), currently associated with Money Concepts Capital CORP, has at least one disclosable event. These events include one customer complaint, alleging that Becker 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 $88,671.00 on March 12, 2026.

Statement of Claim alleges RR failed to advise customer about the window of time she had to transfer her Defined Benefits which allegedly caused her to incur unanticipated tax liabilities.

Broker Troy Miller in LPL Financial LLC Firm Has Customer Complaint

May 18, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Troy Miller (Miller), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Miller 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 $900,000.00 on March 12, 2026.

Customer alleges the representative failed to stop the Customer from withdrawing funds from his own accounts that the Customer then invested in an allegedly fraudulent scheme.

Broker Gregory Matthews in Morgan Stanley Firm Has Customer Complaint

May 18, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on March 12, 2026.

Attorney for clients alleges that annuity investments recommended to clients were not in their best interests damages unspecified 2018

There are Recent Customer Complaints with Broker David White in Firm Centaurus Financial, INC.

May 18, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David White (White), previously associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that White 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 $75,000.00 on March 11, 2026.

The customer alleges that in June of 2014 and in February of 2020, the Registered Representative recommended and misrepresented unsuitable investments.

Broker Roger Turcotte in Cetera Investment Services LLC Firm Has Customer Complaint

May 18, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Roger Turcotte (Turcotte), currently associated with Cetera Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Turcotte 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 $350,000.00 on March 13, 2026.

Claimant alleges unsuitable investment recommendations.

Broker Christopher Dodd in Nylife Securities LLC Firm Has Customer Complaint

May 17, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on March 16, 2026.

The policyowners allege they were misled when they purchased variable annuities in November and December 2024, respectively, and that the policies do not suit their needs. The policyowners request to terminate the variable annuities with no surrender charges or costs.

There are Recent Customer Complaints with Broker Emmanuel Jacobs in Firm Bankers Life Securities, INC.

May 17, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Emmanuel Jacobs (Jacobs), currently associated with Bankers Life Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Jacobs 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 $13,000.00 on March 16, 2026.

Client alleges that the FR repeatedly told him he would never incur any fees, commissions, or charges of any kind. Client alleges this was false and states “upon purchasing the American Funds Class B mutual fund, approx. $13,000 was deducted in fees from my investment.”

There are Recent Customer Complaints with Broker David Kangas in Firm Wealthforge Securities, LLC

May 17, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Kangas (Kangas), currently associated with Wealthforge Securities, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Kangas 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 $150,000.00 on March 16, 2026.

From investment activity in April 2022, claimants allege the following: negligence, lack of suitability, fraud, lack of due diligence, misrepresentation, omitting material facts, breach of contract, and breach of fiduciary duty