Reg BI

Broker Mark Joneson in Cetera Advisor Networks LLC Firm Has Customer Complaint

November 27, 2025 | by Staff Attorney

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

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

The claimant alleges the investments he purchased in 2014 were overconcentrated, unsuitable, and misrepresented to him by the representative. Additionally, the claimant alleges the firm failed to conduct due diligence of the investments and failed to supervise the activities of the representative.

Broker Steven Aiken in Commonwealth Financial Network Firm Has Customer Complaint

November 27, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven Aiken (Aiken), currently associated with Commonwealth Financial Network, has at least one disclosable event. These events include one customer complaint, alleging that Aiken 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 $16,424.22 on May 03, 2022.

Client looking for short term production better than bank CD, but wanted principal guarantee as assets were to be used to purchase a home. Value decreased

Broker Philip Pursino in Ameriprise Financial Services, INC. Firm Has Customer Complaint

November 27, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Philip Pursino (Pursino), previously associated with Ameriprise Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Pursino 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 $350,000.00 on May 02, 2022.

The claimant asserted the following causes of action: breach of fiduciary duty; unsuitability; negligence; common law fraud; breach of contract; negligent supervision; and respondent superior. The causes of action relate to unspecified securities.

Broker Joe Mcadams in State Farm Vp Management Corp. Firm Has Customer Complaint

November 27, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joe Mcadams (Mcadams), currently associated with State Farm Vp Management Corp., has at least one disclosable event. These events include one customer complaint, alleging that Mcadams 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 $251,740.00 on May 05, 2022.

Customer alleges that the beneficiaries were not listed correctly.

There are Recent Customer Complaints with Broker Tony Keena in Firm LPL Financial LLC

November 27, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on April 29, 2022.

Claimant alleges the RR recommended an unsuitable Oil & Gas investment.

There are Recent Customer Complaints with Broker Joseph Furlong in Firm Morgan Stanley

November 27, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Furlong (Furlong), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Furlong 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 $500,000.00 on May 02, 2022.

Time frame: 2018-2021 Claimant’s counsel alleges unsuitability and misrepresentation with respect to recommendations to invest in and hold an options overlay strategy.

Broker Ernest Holguin in Wells Fargo Advisors Financial Network, LLC Firm Has Customer Complaint

November 27, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on April 30, 2022.

Client verbally complained that the Financial Advisor reallocated his money market funds without authorization. (10/1/2021- 4/30/2022)

Broker Edward Speas in Centaurus Financial, INC. Firm Has Customer Complaint

November 27, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on May 04, 2022.

The customer alleges that the Registered Representative recommended high-risk, high-commission/cost, unsuitable investments. No dates were provided in the Statement of Claim.

There are Recent Customer Complaints with Broker Christopher George in Firm UBS Financial Services INC.

November 27, 2025 | by Staff Attorney

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

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

Time Frame: January 02, 2020 to December 31, 2021\, The client alleges he was charged excessive fees and commissions. The client further alleges moving bonds into his managed account was not in his best interest or explained. The alleged damages are estimated to be in excess of $5,000.00.

There are Recent Customer Complaints with Broker Robert Smith in Firm First Command Brokerage Services, INC.

November 27, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Smith (Smith), currently associated with First Command Brokerage Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Smith 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 $700,000.00 on May 03, 2022.

Customer initiated a FINRA arbitration proceeding claiming damages of $700,000 plus punitive fees, etc. The customer alleges that First Command failed to comply with its fiduciary duty, Reg BI, FINRA rules, and its duty to supervise and identify obvious signs of elder exploitation when making a recommendation to the customer to move his assets from his long-term mutual fund holdings to managed accounts, resulting in a large potential capital gains tax consequence.