Reg BI

There are Recent Customer Complaints with Broker Landon Marino in Firm Morgan Stanley

August 5, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Landon Marino (Marino), currently associated with Morgan Stanley, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Marino recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on June 02, 2020.

Claimants allege, inter alia, unsuitability with respect to investments – July 2013 to April 2020

Broker Michael Adams in Cambridge Investment Research, INC. Firm Has Customer Complaint

August 5, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Adams (Adams), currently associated with Cambridge Investment Research, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Adams recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on June 03, 2020.

The client alleged the registered representative processed trades in his American Funds account without his authorization in March of 2020.

Broker Jeffrey Dillman in Trustmont Financial Group, INC. Firm Has Customer Complaint

August 5, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Dillman (Dillman), previously associated with Trustmont Financial Group, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Dillman 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 $375,717.00 on June 02, 2020.

2012- June 2017, alleged unsuitable securities, common law fraud, breach of fiduciary duty, unjust enrichment, the failure to supervise, and violation of the Pennsylvania Unfair Trade Practices and Consumer Protection Law

There are Recent Customer Complaints with Broker William Coffey in Firm Morgan Stanley

August 5, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Coffey (Coffey), currently associated with Morgan Stanley, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Coffey recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on June 02, 2020.

Claimants allege, inter alia, unsuitability with respect to investments – July 2013 to April 2020

Broker Tracy Randle in LPL Financial LLC Firm Has Customer Complaint

August 5, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Tracy Randle (Randle), currently associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Randle recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on June 05, 2020.

Client complained the financial advisor liquidated certain assets without her authorization. (10/28/2019)

There are Recent Customer Complaints with Broker Curtis Howard in Firm LPL Financial LLC

August 5, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Curtis Howard (Howard), currently associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Howard 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 $5,015.00 on June 04, 2020.

Customer alleges failure to follow instructions. Activity period: 2/12/20 to 6/4/20.

Broker William Thon in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

August 5, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Thon (Thon), previously associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Thon 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 $250,000.00 on June 05, 2020.

The Customer alleges unsuitable investment recommendations and misrepresentation.

Broker Edward Colley in PFS Investments INC. Firm Has Customer Complaint

August 5, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on June 05, 2020.

Customer alleged that i failed to follow his instructions regarding the transfer-in-kind of his investments.

There are Recent Customer Complaints with Broker Edgar Mock in Firm Trustmont Financial Group, INC.

August 5, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Edgar Mock (Mock), currently associated with Trustmont Financial Group, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Mock 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 $375,717.00 on June 02, 2020.

2012- June 2017, alleged unsuitable securities, common law fraud, breach of fiduciary duty, unjust enrichment, the failure to supervise, and violation of the Pennsylvania Unfair Trade Practices and Consumer Protection Law

There are Recent Customer Complaints with Broker Christopher Monahan in Firm RBC Capital Markets, LLC

August 5, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Monahan (Monahan), previously associated with RBC Capital Markets, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Monahan 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 $1,000,000.00 on June 04, 2020.

Claimants maintained investments with the Financial Advisor. The Financial Advisor understood that the claimants did not want to take unnecessary risks with their savings. RBC recommended high risk, concentrated investments in Puerto Rico bonds. Mr. Monahan described the investments as safe income producing vehicles. As a result, the claimants suffered principal losses.