Reg BI

Broker Gerard O’connell in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

January 8, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on October 24, 2022.

Client alleges misrepresentation related to a bond fund purchased in March 2022.

Broker Stephanie O’hara in LPL Financial LLC Firm Has Customer Complaint

January 8, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a award / judgment customer complaint on March 14, 2022.

The decision to offer 3.75% on the line of credit instead of 3.25% violated Reg BI and advice within investment strategy that claimant should borrow against the non-purpose loan at 3.75% rather than sell pledged stock (BGCP) which was paying 6% and disabusing claimant of claimant’s idea to liquidate shares to buy Florida home.

Broker Kevin O’brien in Wealth Enhancement Brokerage Services, LLC Firm Has Customer Complaint

January 8, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin O’brien (O’brien), currently associated with Wealth Enhancement Brokerage Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that O’brien 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 $50,713.00 on May 19, 2022.

The claimant alleges the financial professional placed the claimant in moderately conservative investments as opposed to conservative or “zero risk” investments.

Broker William O’connor in Bivo Financial LLC Firm Has Customer Complaint

January 8, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William O’connor (O’connor), currently associated with Bivo Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that O’connor 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 $110,000.00 on October 31, 2022.

Failed to supervise Tony Liddle

Broker Jaden Gurney in Raymond James Financial Services, INC. Firm Has Customer Complaint

January 7, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on August 04, 2025.

Failure to follow instructions.

There are Recent Customer Complaints with Broker Christopher Gordon in Firm Centaurus Financial, INC.

January 7, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Gordon (Gordon), currently associated with Centaurus Financial, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Gordon 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 $25,000.00 on October 28, 2024.

The customer alleges that the Registered Representative recommended an unsuitable Oil and Gas Investment. No specific dates for the alleged activity were identified in the Statement of Claim.

Broker Eric Luckey in Stonex Securities INC. Firm Has Customer Complaint

January 7, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eric Luckey (Luckey), currently associated with Stonex Securities INC., has at least one disclosable event. These events include one customer complaint, alleging that Luckey 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 $7,746.00 on July 01, 2025.

Claimants alleged that, after their father’s passing, his money continued to be invested without Claimants’ permission, resulting in a loss on the account.

Broker Molly Vannier in Edward Jones Firm Has Customer Complaint

January 7, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Molly Vannier (Vannier), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Vannier 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 $55,000.00 on November 15, 2022.

Plaintiff, individually and as personal representative of the client's estate, asserts various claims alleging Defendants failed to properly disburse decedent's accounts. Specifically, Plaintiff alleges that on or about September 27, 2021, Defendants permitted a disbursement from the decedent's account to another individual when the Plaintiff was the proper beneficiary.

There are Recent Customer Complaints with Broker Scott Droskie in Firm Wells Fargo Clearing Services, LLC

January 7, 2026 | by Staff Attorney

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

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

The client verbally complained that the Financial Advisor used accounts for collateral against a credit line and without her permission. (10/22/2020 – 7/22/2025)

There are Recent Customer Complaints with Broker Jorge Valdes in Firm the Leaders Group, INC.

January 7, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jorge Valdes (Valdes), currently associated with the Leaders Group, INC., has at least one disclosable event. These events include one customer complaint, alleging that Valdes 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 $96,300.00 on June 13, 2025.

Consisting of Twisting, Misrepresenting, Forgery/False Attestation.