Reg BI

Broker Troy Perkins in Cetera Wealth Services, LLC Firm Has Customer Complaint

August 31, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Troy Perkins (Perkins), currently associated with Cetera Wealth Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Perkins 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 $125,000.00 on June 01, 2023.

Claimant alleges the RR recommended various unsuitable non-conventional investments.

Broker Robert Burns in Cetera Wealth Services, LLC Firm Has Customer Complaint

August 31, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on June 06, 2023.

Claimants allege registered representative recommended unsuitable investments.

Broker Michael Fisher in Ameriprise Financial Services, LLC Firm Has Customer Complaint

August 31, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on June 01, 2023.

Time frame: March 2010 – September 2012 Allegations: Claimants allege that financial advisor engaged in unsuitable and unauthorized trading which resulted in principal losses.

There are Recent Customer Complaints with Broker David Burk in Firm LPL Financial LLC

August 31, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Burk (Burk), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Burk 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 $14,000.00 on June 05, 2023.

The client is alleging poor performance for a REIT that he purchased in 2016. CFS denied all liability on the basis that the recommended investment was made through another broker-dealer. Regardless, CFS agreed to pay a settlement of $6,000 as an accommodation to the client. The Rep was not asked to contribute to the settlement.

Broker Frank Chiodi in Osaic Wealth, INC. Firm Has Customer Complaint

August 31, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on June 08, 2023.

The Claimant alleges that the recommendation of one investment product did not meet with the customer’s needs and objectives, and that full disclosure regarding the investment and its features was not made.

Broker Kim Schardan in Infinex Investments, INC. Firm Has Customer Complaint

August 31, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kim Schardan (Schardan), previously associated with Infinex Investments, INC., has at least one disclosable event. These events include one customer complaint, alleging that Schardan 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 $190,000.00 on June 01, 2023.

Representative sold unsuitable investments for this client’s investor profile.

Broker Jeffrey Cohen in Moloney Securities Co., INC. Firm Has Customer Complaint

August 31, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint on June 05, 2023.

Without admitting or denying the findings, Cohen consented to the sanction and to the entry of findings that he declined to produce information or documents requested by FINRA during the course of its investigation that originated from allegations regarding the sale of securities through one of his prior OBAs in an arbitration matter disclosed on his Form U4.

Broker Alex Mathis in LPL Financial LLC Firm Has Customer Complaint

August 31, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alex Mathis (Mathis), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mathis 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 $311,959.00 on June 01, 2023.

Customer alleges that an investment recommendation was unsuitable.

There are Recent Customer Complaints with Broker Scott Miller in Firm Ameriprise Financial Services, LLC

August 31, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Scott Miller (Miller), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Miller 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 $500,895.00 on June 07, 2023.

Claimant alleges that in December 2021, he was wrongfully recommended to exchange his Nationwide annuity policy with an unsuitable RVS Life annuity.

Broker Marshall Parsons in Edward Jones Firm Has Customer Complaint

August 31, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Marshall Parsons (Parsons), previously associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Parsons 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 $40,862.50 on June 07, 2023.

Client alleged she personally loaned her former financial advisor $35,000 while he was employed as her financial advisor. Client stated she has not received any repayment on loan to date and requests reimbursement for this unauthorized loan arrangement.