Reg BI

There are Recent Customer Complaints with Broker Qiong Jackson in Firm Ameriprise Financial Services, LLC

January 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Qiong Jackson (Jackson), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Jackson 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 $2,000,000.00 on November 13, 2025.

Claimants allege Advisor failed to protect them from a scam that liquidated their accounts.

Broker Jeremy Benson in Nylife Securities LLC Firm Has Customer Complaint

January 4, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint on November 13, 2025.

Respondent Benson failed to respond to FINRA requests for information.

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

January 4, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on November 10, 2025.

The client alleges failure to follow instructions related to the sale of stock on November 6, 2025.

There are Recent Customer Complaints with Broker Robert Tudor in Firm Voya Financial Advisors, INC.

January 4, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on November 11, 2025.

Allegations include failure to supervise and breach of fiduciary duty related to investments made in 2022.

Broker Brian Nelson in Emerson Equity LLC Firm Has Customer Complaint

January 4, 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 2 disclosable events. These events include 2 customer complaints, 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 November 14, 2025.

Breach of fiduciary duty; suitability; fraudulent misrepresentations and omissions; violation of FINRA rules 2010, IM-2310-2, and 2020; breach of contract.

There are Recent Customer Complaints with Broker George Smith in Firm Emerson Equity LLC

January 4, 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 2 disclosable events. These events include 2 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 on November 06, 2025.

Breach of Fiduciary Duty, Negligence and violation of Regulation Best Interest

There are Recent Customer Complaints with Broker Jeffrey Stock in Firm Kovack Securities INC.

January 4, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on November 10, 2025.

Claimants allege that a conservation easement purchased in 2016 resulted in unexpected tax consequences.

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

January 4, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on November 07, 2025.

The customer alleges failure to follow instructions related to the purchases and sales of certain exchange traded funds.

There are Recent Customer Complaints with Broker Stephen Allain in Firm Robert W. Baird & CO. Incorporated

January 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stephen Allain (Allain), currently associated with Robert W. Baird & CO. Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Allain 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 $230,000.00 on November 14, 2025.

The client alleges that his Financial Advisor failed to adequately explain the fee structure of the annuity, causing the client to purchase a product with higher than expected fees.

There are Recent Customer Complaints with Broker Timothy Calvert in Firm First Citizens Investor Services, INC.

January 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Timothy Calvert (Calvert), currently associated with First Citizens Investor Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Calvert 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 $28,624.92 on November 06, 2025.

The client’s power of attorney alleged that the client did not recall any discussion of a new annuity during meetings that occurred between February and March 2025, and stated the client would not have agreed to a new contract with a 7-year term. The power of attorney further claimed that the client believed the paperwork involved only updating names and beneficiaries on existing policies as part of the death claim process.