Reg BI

Broker Dustin Mikkelsen in Equity Services, INC. Firm Has Customer Complaint

February 28, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dustin Mikkelsen (Mikkelsen), previously associated with Equity Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Mikkelsen 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 $384,100.00 on March 05, 2021.

Customer alleges that the deceased Registered Representative, the customer’s former spouse, implemented an unsuitable investment strategy and made unauthorized withdrawals from the account

There are Recent Customer Complaints with Broker Christopher Noonan in Firm Wells Fargo Clearing Services, LLC

February 28, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 05, 2021.

Client complained that the financial advisor purchased mutual funds in his account that were not appropriate for the account status. (2/23/2021-3/3/2021)

Broker Calvin Franklin in PFS Investments INC. Firm Has Customer Complaint

February 28, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 04, 2021.

Client alleged i made a poor recommendation that she surrender her variable annuity contract.

Broker John Perrette in J.P. Morgan Securities LLC Firm Has Customer Complaint

February 28, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Perrette (Perrette), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Perrette 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 $1,770,000.00 on March 03, 2021.

Client alleges Registered Representative failed to follow instructions regarding equity listed investment. Activity date 01/10/2018.

There are Recent Customer Complaints with Broker Gregg Manis in Firm LPL Financial LLC

February 28, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on March 03, 2021.

Claimants alleges that LPL and its registered representative negligently advised their client to purchase assets and make transfers between trusts which violated the terms of the trusts and constituted a breach of fiduciary duty. Plaintiff alleges he suffered financial loss as result of the alleged conduct.

Broker James Thomure in Edward Jones Firm Has Customer Complaint

February 28, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 05, 2021.

The client alleges the financial advisor’s failure to follow her instructions to rollover distributions from a qualified annuity resulted in an additional tax liability.

Broker Richard Schultz in Stifel, Nicolaus & Company, Incorporated Firm Has Customer Complaint

February 28, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Schultz (Schultz), previously associated with Stifel, Nicolaus & Company, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Schultz 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 $2,928,362.00 on March 05, 2021.

Richard Schultz was named in a customer complaint that asserted the following causes of action: breach of fiduciary duties; breach of Minnesota securities statutes; breach of the Minnesota Consumer Fraud Act; suitability; fraudulent misrepresentation and negligent misrepresentation; common law fraud; negligence; breach of contract; fraudulent misrepresentation by silence; failure to supervise; and respondeat superior.

There are Recent Customer Complaints with Broker Thomas Steiner in Firm Cetera Advisors LLC

February 28, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 03, 2021.

Client expresses concern about the amount of trading activity in his accounts and alleges the financial professional did not contact him prior to placing trades from 2012 – 2021.

There are Recent Customer Complaints with Broker Bruce Ivol in Firm Cambridge Investment Research, INC.

February 28, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 03, 2021.

Claimants allege the RR misrepresented the tax implications of their retirement plan.

There are Recent Customer Complaints with Broker Adam Kozak in Firm Sigma Financial Corporation

February 27, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 09, 2021.

The complainant alleges that the REIT that was sold to him beginning in or around 2014 was unsuitable for his conservative portfolio and he wasn’t advised that there could be a loss of principal.