Reg BI

Broker Robert Willis in PFS Investments INC. Firm Has Customer Complaint

May 16, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Willis (Willis), currently associated with PFS Investments INC., has at least one disclosable event. These events include one customer complaint, alleging that Willis 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 $8,000.00 on March 18, 2026.

Customer alleges a request to move funds into money market was not timely submitted, resulting in decreased account value due to market fluctuation.

There are Recent Customer Complaints with Broker Anne Davidson in Firm Wells Fargo Clearing Services, LLC

May 16, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on March 18, 2026.

The client claims their Financial Advisor did not disclose that failure to meet the capital call requirements could put the client&#39;s invested principal at risk. The client demands a full return of their principal investment. (8/23/2024-11/14/2025)

There are Recent Customer Complaints with Broker Taylor Armstrong in Firm Aurora Securities

May 15, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Taylor Armstrong (Armstrong), currently associated with Aurora Securities, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Armstrong 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 $1,000,000.00 on March 23, 2026.

Customer alleges unsuitable investment recommendation in a real estate security.

Broker Justin Pierce in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

May 15, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on March 24, 2026.

Client alleges misrepresentation related to a managed account.

Broker Ronald Lentz in Edward Jones Firm Has Customer Complaint

May 15, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ronald Lentz (Lentz), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Lentz 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 $20,000.00 on March 20, 2026.

Client alleges assets in IRA accounts were supposed to be moved into fixed income.

There are Recent Customer Complaints with Broker Julie Reyes in Firm Emerson Equity LLC

May 15, 2026 | by Staff Attorney

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

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

Breach of contract and warranties, promissory estoppel, consumer protection and deceptive trade practices act, violation of securities statutes, breach of fiduciary duty, claims under common law, vicarious liability, violation of Regulation Best Interest

There are Recent Customer Complaints with Broker Brian Nelson in Firm Emerson Equity LLC

May 15, 2026 | by Staff Attorney

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

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

Breach of contract and warranties, promissory estoppel, consumer protection and deceptive trade practices act, violation of securities statutes, breach of fiduciary duty, claims under common law, vicarious liability, violation of Regulation Best Interest

There are Recent Customer Complaints with Broker Kelly Decker in Firm Nylife Securities LLC

May 15, 2026 | by Staff Attorney

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

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

The customer has alleged the surrender fees associated with 2 variable annuities were purchased in December 2025 were not fully explained.

Broker George Smith in Emerson Equity LLC Firm Has Customer Complaint

May 15, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker George Smith (Smith), currently associated with Emerson Equity LLC, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Smith 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 $150,000.00 on March 23, 2026.

Breach of contract, breach of fiduciary duty, negligence and gross negligence, misrepresentations and omissions, violation of FINRA rules, violation of the state securities act and federal securities laws, violation of Regulation Best Interest Obligations. Investment made in or around July 2024

Broker Troy Thomas in Mcdermott Investment Services, LLC Firm Has Customer Complaint

May 15, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Troy Thomas (Thomas), currently associated with Mcdermott Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Thomas 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 $400,000.00 on March 25, 2026.

Claimant, an experienced investor in real estate, including Delaware Statutory Trusts (‘DSTs’), purchased a DST in August 2021 as part of a tax advantaged 1031 exchange of a prior real estate investment. Due to circumstances well beyond Firm’s or RR’s control, that DST is not performing to Claimant’s expectations. Accordingly, Claimant has made various allegations and legal claims related to suitability and due diligence with respect to the DST. Allegations also include breach of fiduciary duty, negligence, misrepresentations and omissions, failure to supervise and breach of contract.