Reg BI

Broker Michael Callahan in Osaic Wealth, INC. Firm Has Customer Complaint

January 21, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Callahan (Callahan), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Callahan 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 $20,000.00 on October 12, 2021.

Customer alleges that the representative misrepresented the tax implications in connection to the surrender of an annuity.

There are Recent Customer Complaints with Broker Stewart Conover in Firm Cuna Brokerage Services, INC.

January 21, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stewart Conover (Conover), previously associated with Cuna Brokerage Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Conover 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 $22,400.99 on October 07, 2021.

Client’s husband passed away and shortly thereafter the rep recommended the client replace her Nationwide VA for another Nationwide VA for lower expenses and a higher lifetime income benefit; client is stating she doesn’t understand why the original recommendation was made, or the replacement recommendation, as lifetime income had not been her objective.

Broker Jeffrey Krogh in Stifel, Nicolaus & Company, Incorporated Firm Has Customer Complaint

January 21, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Krogh (Krogh), previously associated with Stifel, Nicolaus & Company, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Krogh 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 October 14, 2021.

Successor trustee alleges that registered representative recommended an inappropriate investment strategy to the prior trustee. Timeframe: June 28, 2017 – December 4, 2017.

There are Recent Customer Complaints with Broker Erik Jolliff in Firm Edward Jones

January 20, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on October 21, 2021.

Client alleges he incurred unintended tax consequences after following the Financial Advisor’s advice in contributing to a SEP IRA and Roth IRA.

Broker Frank Van Houten in LPL Financial LLC Firm Has Customer Complaint

January 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Frank Van Houten (Van Houten), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Van Houten 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 October 22, 2021.

Claimant alleges FA recommended unsuitable investment in an offshore product whose issuer is no longer solvent and is under liquidation order. Allegation Activity Dates: 12/29/2014 – 6/3/2020.

There are Recent Customer Complaints with Broker Andrew Hall in Firm Edward Jones

January 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andrew Hall (Hall), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Hall 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 October 25, 2021.

Claimants assert various claims relating to alleged unsuitable purchases of municipal bonds, certificates of deposit, and a real estate investment trust in 2013 and 2014.

There are Recent Customer Complaints with Broker Charles Bloom in Firm Chelsea Financial Services

January 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Charles Bloom (Bloom), previously associated with Chelsea Financial Services, has at least one disclosable event. These events include one customer complaint, alleging that Bloom 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 $75,000.00 on October 25, 2021.

UNSUITABLE RECOMMENDATION, VIOLATION OF FINRA 3110, BREACH OF FIDUCIARY DUTY, NEGLIGENCE

There are Recent Customer Complaints with Broker James Bowdish in Firm Edward Jones

January 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Bowdish (Bowdish), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Bowdish 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 $1,000,000.00 on October 20, 2021.

Plaintiffs allege that during the time period of December 5, 2017, Defendants failed to make timely life insurance premiums and therefore allowed the policy to lapse.

There are Recent Customer Complaints with Broker Steven Knuttila in Firm Capital Financial Services, INC.

January 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven Knuttila (Knuttila), previously associated with Capital Financial Services, INC., has at least 3 disclosable events. These events include 2 customer complaints, one regulatory event, alleging that Knuttila recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on October 18, 2021.

Respondent Knuttila failed to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA request to provide information concerning the status of compliance.

There are Recent Customer Complaints with Broker Eugene Heflin in Firm LPL Financial LLC

January 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eugene Heflin (Heflin), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Heflin 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 $23,000.00 on October 19, 2021.

Customer alleges that in March of 2020 the registered representative failed to follow instructions to purchase certain equities.