Reg BI

There are Recent Customer Complaints with Broker Blake Furgerson in Firm Stifel, Nicolaus & Company, Incorporated

April 9, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on January 22, 2026.

Customers allege registered representative failed to disclose the essential terms relating to an investment.

There are Recent Customer Complaints with Broker Christine Maushardt in Firm Cetera Investment Services LLC

April 9, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christine Maushardt (Maushardt), currently associated with Cetera Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Maushardt 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 January 22, 2026.

Customer alleges she was sold an annuity that was not in her best interest.

There are Recent Customer Complaints with Broker Sean Vappie in Firm Edward Jones

April 9, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sean Vappie (Vappie), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Vappie 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 $2,100,000.00 on January 26, 2026.

Customer alleges registered representative conducted an unapproved outside transaction. Activity dates 02/17/23 through 08/08/25.

There are Recent Customer Complaints with Broker Sean Fenton in Firm Morgan Stanley

April 9, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on January 23, 2026.

Client alleges, inter alia, misrepresentation with respect to purchases and sales of certificates of deposits and equity trading done in her account 2021-2022 damages unspecified

There are Recent Customer Complaints with Broker James Chapman in Firm Equitable Advisors, LLC

April 9, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on January 20, 2026.

Claimant alleges alternative investments purchased were unsuitable.

Broker David Olsen in Madison Avenue Securities, LLC Firm Has Customer Complaint

April 9, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Olsen (Olsen), previously associated with Madison Avenue Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Olsen 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 $582,000.00 on January 20, 2026.

Claimants allege unsuitable recommendations on 1031 Exchange Alternative Investments.

Broker Larry Wilson in Raymond James Financial Services, INC. Firm Has Customer Complaint

April 9, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on January 21, 2026.

Plaintiff makes unarticulated and incoherent generalized allegations of \\u201cbreach of fiduciary duty\\u201d without any factual information to explain what she is referring to.

Broker Laura Fortenberry in Nylife Securities LLC Firm Has Customer Complaint

April 9, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on January 20, 2026.

The customer alleges she was misled when she purchased two variable universal insurance policies for her children in May 2023 and that they did not meet her stated goals and need for cash flow. The customer requests the return of principal without surrender charges.

There are Recent Customer Complaints with Broker Aaron Sevigny in Firm United Planners’ Financial Services of America A Limited Partner

April 9, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Aaron Sevigny (Sevigny), currently associated with United Planners’ Financial Services of America A Limited Partner, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Sevigny 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 $2,000,000.00 on January 20, 2026.

Violation of Section 10(b) of the Exchange Act and Rule 10b-5, Section 20(a) Controlling Person Liability Under the Exchange Act, Violation of RICO, 18 U.S.C. \\u00a7 1962(c), RICO Conspiracy, 18 U.S.C. \\u00a7 1962(d), New Jersey Consumer Fraud Act, N.J.S.A. 56:8-1 et seq., Common-Law Fraud, Breach of Fiduciary Duty, Negligence, Aiding and Abetting Fraud and Breach of Fiduciary Duty.

There are Recent Customer Complaints with Broker Kevin Hunt in Firm Cambridge Investment Research, INC.

April 9, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Hunt (Hunt), currently associated with Cambridge Investment Research, INC., has at least one disclosable event. These events include one customer complaint, alleging that Hunt 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 $564,717.51 on January 21, 2026.

Clients POA alleges the RR recommended an investment that was unsuitable given their stated financial profile. The POA also alleged that the contract was not signed in the correct state.