Reg BI

There are Recent Customer Complaints with Broker Troy Brown in Firm Edward Jones

January 7, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Troy Brown (Brown), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Brown 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 $75,000.00 on April 22, 2024.

Administrator of client's estate alleges financial advisor violated his fiduciary duty owed to client by permitting the POA to name himself as sole beneficiary of client's account when he allegedly knew client had diminished capacity.

There are Recent Customer Complaints with Broker Sergio Kindler in Firm Osaic Wealth, INC.

January 7, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on July 30, 2025.

THE CLAIMANT ALLEGES THAT THE RECOMMENDATION OF A MUNICIPAL BOND FUND WAS NOT IN KEEPING WITH HER INVESTMENT NEEDS AND OBJECTIVES, AND THAT FULL DISCLOSURE WAS NOT MADE REGARDING THE RISKS ASSOCIATED WITH THE INVESTMENT.

Broker Michael Mullen in B. Riley Wealth Management Firm Has Customer Complaint

January 7, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Mullen (Mullen), currently associated with B. Riley Wealth Management, has at least one disclosable event. These events include one customer complaint, alleging that Mullen 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 $781,536.00 on December 05, 2024.

Claimant alleges Mr. Mullen, who was not Claimant's broker, profited from the sale of securities where alleged affiliate relationships were undisclosed. Claimant did not allege a time period.

Broker Jake Fruge in PFS Investments INC. Firm Has Customer Complaint

January 6, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on October 16, 2025.

Plaintiffs allege they purchased e-commerce stores and digital real estate from Champion E-Com, which was operated by Ian Prukner, Jake Fruge, Mellon Weaver and another individual. Plaintiffs allege, among other things, that he e-commerce stores and digital real estate were unregistered securities. Plaintiffs were not customers of PFS Investments and the compliant indicates that they made their purchases after Prukner, Fruge and Weaver were no longer associated with PFS Investments.

There are Recent Customer Complaints with Broker Jeffrey Miller in Firm Merrill Lynch, Pierce, Fenner & Smith Incorporated

January 6, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on October 24, 2025.

Client alleges failure to follow instructions related to a transfer of funds.

There are Recent Customer Complaints with Broker Xiangyu Zhang in Firm Wells Fargo Clearing Services, LLC

January 6, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on October 27, 2025.

Claimants allege unsuitable investment recommendations.

There are Recent Customer Complaints with Broker Jason Merrill in Firm Ameriprise Financial Services, LLC

January 6, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jason Merrill (Merrill), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Merrill 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 $19,793.98 on October 31, 2025.

The client alleged the advisor conducted unauthorized trading in her non-qualified Managed and Brokerage accounts on June 24, 2025.

There are Recent Customer Complaints with Broker David Segarra in Firm LPL Financial LLC

January 6, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Segarra (Segarra), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Segarra 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 $35,000.00 on October 24, 2025.

The customer alleges that, the Registered Representative recommended an unsuitable, high-risk, illiquid investment. No specific dates for the alleged activity were identified in the Statement of Claim.

Broker Scott Gregory in Benjamin F. Edwards & Company, INC. Firm Has Customer Complaint

January 6, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Scott Gregory (Gregory), previously associated with Benjamin F. Edwards & Company, INC., has at least one disclosable event. These events include one customer complaint, alleging that Gregory 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 $42,000.00 on October 15, 2025.

Clients complained about option trades and mutual fund sale made without their consent.

There are Recent Customer Complaints with Broker Bryce Hamilton in Firm LPL Financial LLC

January 6, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bryce Hamilton (Hamilton), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hamilton 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 October 21, 2025.

The customers allege that the Registered Representative recommended and misrepresented unsuitable, high-risk, speculative and illiquid investments and breached his fiduciary duty. No specific dates for the alleged activity were identified in the Statement of Claim.