Reg BI

Broker Brady Clar in Charles Schwab & Co., INC. Firm Has Customer Complaint

March 21, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brady Clar (Clar), currently associated with Charles Schwab & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Clar 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 $14,774.00 on November 17, 2020.

Client alleges in October 2019, representative provided advice to sell Master Limited Partnerships (MLP’s) in the account which resulted in a tax liability of $14,774.

There are Recent Customer Complaints with Broker Bryant Caveness in Firm Ameriprise Financial Services, LLC

March 21, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bryant Caveness (Caveness), previously associated with Ameriprise Financial Services, LLC, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Caveness 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 $230,000.00 on November 17, 2020.

Claimants allege that Respondents placed them in precious metals and mining stocks, inverse and leveraged ETFs, and gold coins, and allege unsuitability, breach of fiduciary duty, and negligent supervision. Claimant seeks compensatory damages of $230,000.

Broker Robert Hoffmann in Thurston, Springer, Miller, Herd & Titak, INC. Firm Has Customer Complaint

March 21, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Hoffmann (Hoffmann), previously associated with Thurston, Springer, Miller, Herd & Titak, INC., has at least one disclosable event. These events include one customer complaint, alleging that Hoffmann 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 $100,000.00 on November 13, 2020.

Claimant alleges she purchased annuities that were unsuitable

Broker Mark Pearcy in Cetera Wealth Services, LLC Firm Has Customer Complaint

March 21, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Pearcy (Pearcy), currently associated with Cetera Wealth Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Pearcy 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 $554,000.00 on November 13, 2020.

The complainant’s allege that the variable universal life policy sold on January 14, 1999 was misrepresented, and the representative said they could expect an annual return of 10%. The policy has since collapsed, even though their annual premiums have been paid for 20 years.

Broker Gregory Jacobson in Commonwealth Financial Network Firm Has Customer Complaint

March 21, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gregory Jacobson (Jacobson), currently associated with Commonwealth Financial Network, has at least one disclosable event. These events include one customer complaint, alleging that Jacobson 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 $32,000.00 on November 17, 2020.

Claimant alleges that investment recommendations made in an IRA account were unsuitable, speculative, and high-risk.

Broker Tanya Bliss in Voya Financial Partners, LLC Firm Has Customer Complaint

March 21, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Tanya Bliss (Bliss), currently associated with Voya Financial Partners, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bliss 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 November 18, 2020.

Arbitration claim filed against Cuso Financial

Broker Gilberto Briseno in Arkadios Capital Firm Has Customer Complaint

March 21, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on November 13, 2020.

Unsuitable investment recommendations, misrepresentation.

Broker Vincent La Cava in Ameriprise Financial Services, LLC Firm Has Customer Complaint

March 21, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on November 13, 2020.

Claimant alleges that Respondents recommended him unsuitable securities, including Amira Nature Foods, that were overly concentrated in certain product types and/or industries.

Broker William Gendron in Metlife Securities INC. Firm Has Customer Complaint

March 21, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Gendron (Gendron), previously associated with Metlife Securities INC., has at least one disclosable event. These events include one customer complaint, alleging that Gendron 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 $67,000.00 on November 16, 2020.

The complainant alleges, that the broker solicited him, to purchase several alternative investments on or about July & August 2013. The complainant states the products were presented as safe investments for retirement, which would provide a steady income stream, and a safety of principal. The complainant is alleging damages of approximately $67K.

There are Recent Customer Complaints with Broker Edward Miller in Firm LPL Financial LLC

March 21, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Edward Miller (Miller), previously 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 final customer complaint with a damage request of $4,000,000.00 on November 13, 2020.

Customer alleges that representative failed to supervise the activities of another representative alleged to have engaged in ‘fraudulent’ conduct. Activity period – 9/2011 to 12/2012.