Reg BI

Broker Brian Bedford in Edward Jones Firm Has Customer Complaint

September 30, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Bedford (Bedford), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Bedford 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 $17,000.00 on December 06, 2022.

The client alleges that the financial advisor did not adequately describe the mutual fund purchased on August 21, 2021.

There are Recent Customer Complaints with Broker Jason Plucinak in Firm Wealthforge Securities, LLC

September 30, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jason Plucinak (Plucinak), currently associated with Wealthforge Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Plucinak 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 $150,000.00 on December 02, 2022.

Suitability, misrepresentation and Omissions, Violation of FINRA Rules

Broker Steven Westerman in UBS Financial Services INC. Firm Has Customer Complaint

September 30, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven Westerman (Westerman), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Westerman 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 $10,000.00 on December 06, 2022.

Time Frame: September 6th, 2022 to September 26th, 2022\, \, What were the allegations against the individual? The client alleges that his Financial Advisor did not follow his instructions by liquidating his account, in a timely manner, in order to move control of his Donor Advised Fidelity fund to himself.

Broker Ganshyam Bhojwani in MML Investors Services, LLC Firm Has Customer Complaint

September 30, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on December 05, 2022.

The complainant alleges that the registered representative misled her into purchasing an aggressive growth fund on May 24, 2021

There are Recent Customer Complaints with Broker Luis Mendoza in Firm Truist Investment Services, INC.

September 30, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on December 06, 2022.

Client alleges the terms of the callable fixed rate note purchased on October 28, 2019 were misrepresented. The client liquidated the CD on October 13, 2022.

Broker Scott Davis in LPL Enterprise, LLC Firm Has Customer Complaint

September 30, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Scott Davis (Davis), currently associated with LPL Enterprise, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Davis 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 $19,331.00 on December 08, 2022.

Customer Alleges the rep did not fully disclose all the facts regarding Tax Consequences.

Broker James Shenk in Ifp Securities, LLC Firm Has Customer Complaint

September 30, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Shenk (Shenk), currently associated with Ifp Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Shenk 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 $433,000.00 on December 07, 2022.

The claimants allege unsuitable investments.

Broker Stephen Ehrlich in Vygr Digital Securities, LLC Firm Has Customer Complaint

September 30, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on December 01, 2022.

Class action on behalf of investors who purchased unregistered securities beginning in 2019.

Broker Steve Cummings in Berthel, Fisher & Company Financial Services, INC. Firm Has Customer Complaint

September 30, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on December 08, 2022.

The client, through his counsel contacted the Firm’s counsel regarding potential claims relating to suitability of the alternative investments purchased by the client from 2011 through 2016.

There are Recent Customer Complaints with Broker Duncan Gillan in Firm Wells Fargo Clearing Services, LLC

September 30, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Duncan Gillan (Gillan), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Gillan 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 $1,500,000.00 on December 08, 2022.

Customers complained that the financial advisor failed to provide accurate daily status reports as instructed, resulting in opportunity losses pending a reconciliation of the account balances. (6/1/2013-12/8/2022)