Reg BI

Broker John Daughtridge in Raymond James & Associates, INC. Firm Has Customer Complaint

March 26, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on October 12, 2020.

Claimant alleges, inter alia, unauthorized trading with respect to investments – Jul, 2012- Apr, 2020

Broker Thomas Morgan in Morgan Stanley Firm Has Customer Complaint

March 26, 2026 | by Staff Attorney

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

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

Client alleged that several investments were purchased without his knowledge- March 2020.

There are Recent Customer Complaints with Broker Robert Ford in Firm Maxim Group LLC

March 26, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Ford (Ford), currently associated with Maxim Group LLC, has at least one disclosable event. These events include one customer complaint, alleging that Ford 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 $8,432.34 on October 14, 2020.

Client alleges that, from September 2020 to October 2020, the RR did not follow instructions to liquidate the client’s entire portfolio in a timely manner. The Firm disagrees with the client’s allegations; however, in order to avoid costly use of Firm resources, the Firm entered into a settlement.

Broker Frank Moore in UBS Financial Services INC. Firm Has Customer Complaint

March 26, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on October 14, 2020.

Time Frame: March 20, 2020\<char_lb_r>\, \<char_lb_r>\, What were the allegations against the individual? \<char_lb_r>\, The client alleges unauthorized trading. The alleged damages are estimated to be in excess of $5,000.00

There are Recent Customer Complaints with Broker Mark Yadron in Firm Kestra Investment Services, LLC

March 26, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on October 09, 2020.

The customer alleges unsuitable investment recommendations in March 2020.

Broker Jeffrey Broten in Newbridge Securities Corporation Firm Has Customer Complaint

March 26, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint on October 13, 2020.

Without admitting or denying the findings, Broten consented to the sanction and to the entry of findings that he refused to provide on-the-record testimony requested by FINRA in connection with its investigation into his potentially unsuitable and unauthorized trading while associated with a member firm.

There are Recent Customer Complaints with Broker Herbert Hafen in Firm Wells Fargo Clearing Services, LLC

March 26, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Herbert Hafen (Hafen), previously associated with Wells Fargo Clearing Services, LLC, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Hafen 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 13, 2020.

Customer seeking to be reimbursed for unsuitable investments that FA made in her account.

Broker Ellen Boortz in Edward Jones Firm Has Customer Complaint

March 25, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ellen Boortz (Boortz), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Boortz 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 $63,899.72 on October 20, 2020.

Plaintiff alleges Defendants unilaterally closed her investment account without authorization and withheld taxes causing an immediate tax consequence of $22,661.76. Plaintiff further alleges the transaction was made without explaining tax consequences or penalties. Plaintiff alleges when she requested that Defendants reinstate her account and refund the withheld taxes her request was refused.

There are Recent Customer Complaints with Broker Conor Sheehan in Firm Raymond James & Associates, INC.

March 25, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Conor Sheehan (Sheehan), previously associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Sheehan 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 20, 2020.

Client alleges advisor did not invest assets as directed.

Broker Gary Nethen in Nylife Securities LLC Firm Has Customer Complaint

March 25, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gary Nethen (Nethen), currently associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Nethen 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 $48,000.00 on October 19, 2020.

The policyowners questioned the suitability of the recommendation to replace their old variable annuity policies purchased in 2010 with two new variable annuity policies purchased in 2020 with new 9 year surrender charges funded by selling their former policies at losses of $25,000 and $23,000, respectively and request a review.