Reg BI

Broker Dain Stokes in LPL Financial LLC Firm Has Customer Complaint

March 10, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dain Stokes (Stokes), previously associated with LPL Financial LLC, has at least 3 disclosable events. These events include 2 customer complaints, one regulatory event, alleging that Stokes recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on February 01, 2021.

Customer alleges that between February 2015 and September 2019, representative recommended unsuitable variable annuities and also defrauded customer into investing in promissory notes.

There are Recent Customer Complaints with Broker Brian Mccabe in Firm Ameriprise Financial Services, LLC

March 10, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on January 27, 2021.

Claimant, as trustee of the former client\\u00e2? ?s trust, alleges that Respondents breached its duties when it failed to provide copies of the trust, failed to keep the beneficiaries informed, and failed to preserve the residential home following the client’s death on 11/13/2018. Claimant seeks damages in an unspecified amount.

There are Recent Customer Complaints with Broker John Jawor in Firm LPL Financial LLC

March 10, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Jawor (Jawor), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Jawor 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 $58,000.00 on February 01, 2021.

Claimant alleges that purchases of two alternative investments for customer’s portfolio made 7 years ago were unsuitable. Activity period: 6/2013 to 2/2021.

There are Recent Customer Complaints with Broker David Wachsman in Firm Morgan Stanley

March 10, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Wachsman (Wachsman), previously associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Wachsman 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 $1,600,000.00 on January 26, 2021.

David Wachsman was a subject of the customer’s complaint against his member firm that asserted the following causes of action: breach of fiduciary duties; fraud; negligence and/or gross negligence; breach of contract and breach of the implied covenant of good faith and fair dealing; unjust enrichment; violation of industry rules; violation of the Securities Exchange Act of 1934 and Rule 10B-5; suitability; and failure to supervise

Broker William Michetti in Wells Fargo Clearing Services, LLC Firm Has Customer Complaint

March 10, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on January 28, 2021.

Claimants allege that the Financial Advisor assigned to their trust accounts churned and mismanaged their accounts.

Broker Christopher Callagy in Revere Securities LLC Firm Has Customer Complaint

March 10, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Callagy (Callagy), previously associated with Revere Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Callagy 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 $180,000.00 on January 27, 2021.

March 2019 to December 2019. Client alleges poor performance.

There are Recent Customer Complaints with Broker Theodore Anderson in Firm Vanguard Marketing Corporation

March 10, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Theodore Anderson (Anderson), previously associated with Vanguard Marketing Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Anderson 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 $114,000.00 on January 26, 2021.

Client claims that the Advisor kept him in unsuitable investments and strategies which were not appropriate to his investment objectives. The reported time frame for this incident is 01/2018 through 12/31/2020.

Broker Marcious Dickerson in Centaurus Financial, INC. Firm Has Customer Complaint

March 10, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on February 02, 2021.

During the period March 23, 2020 through June 26, 2020, the customer alleges that the Registered Representative initiated several unauthorized trades.

Broker Gregory Hill in Emerson Equity LLC Firm Has Customer Complaint

March 10, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gregory Hill (Hill), previously associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hill 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 January 26, 2021.

Customers allege that the firm and financial advisor failed to perform adequate due diligence in connection with a 1031 exchange recommendation in 2015 that customers invest in a Delaware Statutory Trust.

There are Recent Customer Complaints with Broker David Burke in Firm Oppenheimer & CO. INC.

March 10, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on January 29, 2021.

Customer asserts claims for breach of contract, fraud, breach of fiduciary duty, negligence, gross negligence, misrepresentation, unjust enrichment and violation of state securities and consumer protection statues in connection with his option investments. From 1/1/2013 to 12/31/2020.