Reg BI

Broker Charles Holt in Hightower Securities, LLC Firm Has Customer Complaint

January 23, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Charles Holt (Holt), previously associated with Hightower Securities, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Holt 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 $35,612.00 on September 24, 2021.

Charles Holt was named in a customer complaint that asserted the following causes of action: Breach of fiduciary duty, unsuitability, misrepresentations, failure to conduct a proper due diligence, and violation of FINRA Rules 2010 and 2310.

There are Recent Customer Complaints with Broker Ching Yun Fang in Firm Cetera Investment Services LLC

January 23, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ching Yun Fang (Fang), previously associated with Cetera Investment Services LLC, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Fang 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 $50,000.00 on September 28, 2021.

Claimant alleges that their registered representative made unsuitable investment recommendations.

Broker Gregory Cappel in Money Concepts Capital CORP Firm Has Customer Complaint

January 23, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gregory Cappel (Cappel), currently associated with Money Concepts Capital CORP, has at least one disclosable event. These events include one customer complaint, alleging that Cappel 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 $50,000.00 on September 21, 2021.

Statement of Claim alleges reasonable due diligence was not conducted on GPB, that client’s investment was misrepresented and that investment was unsuitable because it was misrepresented. RR denies allegations and intends to vigorously defend himself against these claims.

Broker Justine Tobin in Tobin & Company Securities LLC Firm Has Customer Complaint

January 23, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Justine Tobin (Tobin), currently associated with Tobin & Company Securities LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Tobin 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 $1,500,000.00 on September 21, 2021.

Claimant alleges, among other things, failure to supervise representatives who allegedly made false and misleading statements in purportedly selling an unsuitable loan away from the firm.

Broker Alan Douglass in Osaic Wealth, INC. Firm Has Customer Complaint

January 23, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alan Douglass (Douglass), currently associated with Osaic Wealth, INC., has at least 3 disclosable events. These events include 3 customer complaints, alleging that Douglass 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 September 27, 2021.

From the period of 2012 -9/27/2021, Claimant alleges his account was overconcentrated in alternative investments.

Broker David Kellin in LPL Financial LLC Firm Has Customer Complaint

January 23, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on September 23, 2021.

CLIENT ALLEGES RR DOLLAR COST AVERAGED ASSETS FROM MONEY MARKET TO MUTUAL FUNDS STARTING IN 04/2020 INSTEAD OF INVESTING THE FULL AMOUNT RIGHT AWAY WHICH RESULTED IN LOST MARKET OPPORTUNITY.

Broker Wilson Saville in Barrett & Company Firm Has Customer Complaint

January 23, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Wilson Saville (Saville), currently associated with Barrett & Company, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Saville 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 $1,200,000.00 on September 23, 2021.

Claimants allege that Mr. Saville and Barrett & Company were negligent and breached regulatory duties by failing to perform required suitability reviews of the investments and by ignoring red flags apparent in the handling of the Claimants’ accounts purchased by a prior Registered Representative of the firm, Charles White.

Broker Charles White in Barrett & Company Firm Has Customer Complaint

January 23, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Charles White (White), previously associated with Barrett & Company, has at least 3 disclosable events. These events include 3 customer complaints, alleging that White 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 $1,200,000.00 on September 23, 2021.

Claimants allege that Mr. White had caused the accounts of [REDACTED] to be unsuitably invested in high-risk securities in 2014 resulting in substantial losses by the year 2020.

There are Recent Customer Complaints with Broker Jeffrey Mitchell in Firm Pruco Securities, LLC.

January 22, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Mitchell (Mitchell), previously associated with Pruco Securities, LLC., has at least one disclosable event. These events include one customer complaint, alleging that Mitchell 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 $25,286.89 on October 05, 2021.

The Customer alleges the reps misrepresentations constituted and resulted in consumer fraud and improper claims practices.

There are Recent Customer Complaints with Broker Fei Chen in Firm Waddell & Reed

January 22, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Fei Chen (Chen), previously associated with Waddell & Reed, has at least one disclosable event. These events include one customer complaint, alleging that Chen 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 $51,000.00 on September 30, 2021.

Claimant alleges unsuitability, common law fraud, breach of contract, negligent supervision, breach of fiduciary duty, and violation of the California securities act.