Reg BI

There are Recent Customer Complaints with Broker Enrique Cuervo in Firm Truist Investment Services, INC.

January 26, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Enrique Cuervo (Cuervo), currently associated with Truist Investment Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Cuervo 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 $50,000.00 on August 26, 2021.

Client alleges investment was unsuitable

Broker Kevin Callaghan in Tiaa-cref Individual & Institutional Services, LLC Firm Has Customer Complaint

January 26, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Callaghan (Callaghan), currently associated with Tiaa-cref Individual & Institutional Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Callaghan 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 August 31, 2021.

Claimant alleges the representative recommended annuities and payout elections which were not in the best interest of the decedent. As a result, the Estate does not have access to roughly halfof the decedents retirement savings.

Broker William Kring in Triad Advisors LLC Firm Has Customer Complaint

January 26, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Kring (Kring), previously associated with Triad Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kring 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 $250,000.00 on August 25, 2021.

Claimants allege that the representative recommended investments that were unsuitable.

There are Recent Customer Complaints with Broker Arben Gecaj in Firm Cabot Lodge Securities LLC

January 26, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a award / judgment customer complaint with a damage request of $414,224.00 on August 24, 2021.

Client alleges unsuitable transactions based on the client’s investment profile, misrepresentation of the risk associated with those transactions, unauthorized discretionary trading, breach of fiduciary duty, breach of oral and written contract, negligence, and failure to supervise. The clients allege such activity occurred between 2015 – 2017.

Broker Marcus Henderson 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 Marcus Henderson (Henderson), currently associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Henderson 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 $5,000.00 on September 02, 2021.

Customer alleges that representative gave poor advice with regard to the withdrawal, and subsequent exchange, from a Variable Life Policy to a Universal Life Policy resulting in a tax liability.

Broker Jamie Cooke in Voya Financial Advisors, INC. Firm Has Customer Complaint

January 26, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jamie Cooke (Cooke), previously associated with Voya Financial Advisors, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Cooke 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 $100,001.00 on August 27, 2021.

Claimant alleges the representative recommended an investment that was unsuitable.

Broker Kimberly Kennedy in LPL Financial LLC Firm Has Customer Complaint

January 26, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kimberly Kennedy (Kennedy), currently associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Kennedy 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 August 24, 2021.

Boilerplate allegations include unsuitability, breach of fiduciary duty, failure to supervise and breach of contract between January 2015 and August 2021.

There are Recent Customer Complaints with Broker Michael Gunter in Firm Raymond James Financial Services, INC.

January 26, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on August 30, 2021.

Client alleges that now-deceased FA caused checks to be written from client’s account for unauthorized purposes.

There are Recent Customer Complaints with Broker Max Larsen in Firm Osaic Wealth, INC.

January 26, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Max Larsen (Larsen), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Larsen 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 $50,000.00 on August 24, 2021.

Claimants allege that the representative recommended investments that were unsuitable.

There are Recent Customer Complaints with Broker Roger Bennett in Firm Cambridge Investment Research, INC.

January 26, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Roger Bennett (Bennett), previously associated with Cambridge Investment Research, INC., has at least one disclosable event. These events include one customer complaint, alleging that Bennett 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 $31,673.34 on August 30, 2021.

Allegations include negligence, breach of contract and breach of fiduciary duty.