Reg BI

Broker Chad Mehle in J.P. Morgan Securities LLC Firm Has Customer Complaint

October 14, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Chad Mehle (Mehle), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mehle 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 $2,500,000.00 on July 17, 2025.

Customer alleges the registered representative solicited an investment involving third-party real estate

There are Recent Customer Complaints with Broker Nichole Wall in Firm Nylife Securities LLC

October 14, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on July 25, 2025.

The customers allege that they were misled when they purchased variable life insurance policies purchased in June 2020.

Broker Stephanie Hughes in Cetera Advisor Networks LLC Firm Has Customer Complaint

October 14, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stephanie Hughes (Hughes), previously associated with Cetera Advisor Networks LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hughes 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 $18,000.00 on July 29, 2025.

The client alleges that the advisor misrepresented the insurance policy to her.

Broker Benjamin Calvert in Synovus Securities, INC. Firm Has Customer Complaint

October 14, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Benjamin Calvert (Calvert), currently associated with Synovus Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Calvert 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 $65,587.12 on July 18, 2025.

Clients’ heirs claim their father received an unsuitable recommendation to purchase an immediate annuity on or about February 23, 2024. The client received two annuity payments before passing away on May 16, 2024. At the time of his death, all future monthly annuity payments were terminated.

Broker Surya Metzler in Centaurus Financial, INC. Firm Has Customer Complaint

October 14, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on July 22, 2025.

The customer alleges that during the period of April 2016 through August of 2022, the Registered Representative recommended unsuitable, complex, illiquid investments.

There are Recent Customer Complaints with Broker Harry Schaffer in Firm Nylife Securities LLC

October 14, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on July 22, 2025.

Customer alleged the Income Annuity she purchased in September 2024 using funds from a previous investment was not based on sound financial judgment and resulted in a tax consequence.

There are Recent Customer Complaints with Broker James Mcarthur in Firm IBN Financial Services, INC.

October 14, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Mcarthur (Mcarthur), previously associated with IBN Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Mcarthur 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 $540,000.00 on July 31, 2025.

Unsuitability, breach of fiduciary duty, breach of contract, misrepresentation and omission; fraud; fraudulent concealment, negligent hiring, failure to supervise alleged for the period of March 2021 through June 2022.

Broker Vincent Camarda in IBN Financial Services, INC. Firm Has Customer Complaint

October 14, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Vincent Camarda (Camarda), previously associated with IBN Financial Services, INC., has at least 4 disclosable events. These events include 4 customer complaints, alleging that Camarda 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 $540,000.00 on July 31, 2025.

Unsuitability, breach of fiduciary duty, breach of contract, misrepresentation and omission; fraud; fraudulent concealment, negligent hiring, failure to supervise

Broker James Cox in Newbridge Securities Corporation Firm Has Customer Complaint

October 14, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Cox (Cox), currently associated with Newbridge Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Cox 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 $250,295.17 on July 17, 2025.

COMPLAINANT ALLEGES REP MADE NEGLIGENT MISREPRESENTATIONS AND BREACHED FIDUCIARY DUTIES IN THE SALE OF CDS.

Broker Eddie Williams in Lifemark Securities Corp. Firm Has Customer Complaint

October 14, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eddie Williams (Williams), currently associated with Lifemark Securities Corp., has at least one disclosable event. These events include one customer complaint, alleging that Williams 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 $50,000.00 on July 28, 2025.

Allegations pertain to an investment in an alternative product intended to be a small component of a larger diversified portfolio. Investments were purchased from 04/2016 to 03/2017. Unfortunately, the company that issued the investment has since filed Chapter 11 bankruptcy. As a result, allegations include breach of fiduciary duty, unsuitable recommendation, failure to supervise, and negligence. LifeMark believes these to be suitable and appropriate transactions given the information available at the time of the transaction, concerning the investment product as well as the client’s financials, risk tolerance and objectives as represented by the client.