Reg BI

There are Recent Customer Complaints with Broker Sean Vappie in Firm Edward Jones

March 3, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sean Vappie (Vappie), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Vappie 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 $2,100,000.00 on January 07, 2026.

Customer alleges registered representative conducted an unapproved outside transaction. Activity dates 02/17/23 through 08/08/25.

There are Recent Customer Complaints with Broker Francisco Cabral in Firm Ameriprise Financial Services, LLC

March 3, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Francisco Cabral (Cabral), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Cabral 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 $150,000.00 on January 12, 2026.

Allegations: unsuitability, misrepresentations and omissions and breach of fiduciary duty. Allegation period: April 16, 2019, the date of the first purchase of Energy 12 to January 12, 2026, the date the SOC was received.

There are Recent Customer Complaints with Broker Donald Vieth in Firm Great Point Capital LLC

March 3, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on January 20, 2026.

Breach of fiduciary duty, common law fraud, breach of contract, negligence/negligent misrepresentation/omission.

Broker Travis Tom in Wells Fargo Clearing Services, LLC Firm Has Customer Complaint

March 3, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on December 31, 2025.

Client complains that Financial Advisor purchased securities without authorization and demands compensation for losses incurred when securities were sold. (11/20/2025-11/21/2025)

Broker Joseph Kelly in Vcs Venture Securities Firm Has Customer Complaint

March 3, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Kelly (Kelly), currently associated with Vcs Venture Securities, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Kelly 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 $958,000.00 on January 13, 2026.

Unsuitable investments and excessive trading.

Broker Seth Nannini in Capital Investment Group, INC. Firm Has Customer Complaint

March 3, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Seth Nannini (Nannini), currently associated with Capital Investment Group, INC., has at least one disclosable event. These events include one customer complaint, alleging that Nannini 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 $50,000.00 on January 22, 2026.

Clients invested in GWG Holdings L-Bonds. GWG Holdings, Inc. filed Chapter 11 bankruptcy on April 20, 2022.

There are Recent Customer Complaints with Broker Eric Kleiner in Firm Morgan Stanley

March 3, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eric Kleiner (Kleiner), previously associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Kleiner 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 $165,000.00 on January 13, 2026.

Claimants allege, inter alia, that FA recommended investment in an outside investment security that was not approved by MS from November 2018 to March 2025.

Broker Michelle Osborne in Emerson Equity LLC Firm Has Customer Complaint

March 3, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on January 05, 2026.

Negligence

Broker Brian Rimel in Raymond James Financial Services, INC. Firm Has Customer Complaint

March 3, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Rimel (Rimel), currently associated with Raymond James Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Rimel 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 $108,149.15 on January 13, 2026.

Custodian of UTMA accounts for his children alleges (1) FA improperly refused to purchase a low-priced security for the UTMA accounts and (2) FA’s recommendation of a money market fund for those accounts was unsuitable.

There are Recent Customer Complaints with Broker Chuck Roberts in Firm Stifel, Nicolaus & Company, Incorporated

March 3, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Chuck Roberts (Roberts), previously associated with Stifel, Nicolaus & Company, Incorporated, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Roberts 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 $100,000.00 on January 06, 2026.

Claimants allege breach of fiduciary duty, negligence, fraud, breach of contract, violation of sections 10(b) and 20(a) of the Securities Exchange Act and Rule 10b-5, and violation of the Florida Securities and Investor Protection Act.