Reg BI

Broker Gary Martin in Vanguard Marketing Corporation Firm Has Customer Complaint

November 24, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gary Martin (Martin), currently associated with Vanguard Marketing Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Martin 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 $18,000.00 on May 21, 2022.

Client alleges that Advisor did not follow his verbal instructions to immediately replenish his spending fund to $160,000 after a $80,000 withdraw was made, resulting in a larger sale of assets at a price lower than if the sale had occurred as discussed. The activity occurred between April 13, 2022 and July 10, 2022.

Broker Michael Caster in Vanguard Marketing Corporation Firm Has Customer Complaint

November 24, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on May 19, 2022.

Client alleges that the Financial Advisor failed to follow her instructions to set aside their cash position to be wired out, and the funds where instead reinvested. The dates when the activities took place are April 19, 2022 thru June 21, 2022.

Broker Joshua Alloway in Equitable Advisors, LLC Firm Has Customer Complaint

November 24, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on May 22, 2022.

The client alleges the RR sold them an unsuitable product in 2021, based on their needs.

Broker Chad King in Edward Jones Firm Has Customer Complaint

November 24, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Chad King (King), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that King 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 $5,000.00 on May 25, 2022.

The client alleges the financial advisor failed to follow her instructions to liquidate mutual funds.

Broker William Meinel in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

November 24, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Meinel (Meinel), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Meinel 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 $15,000.00 on May 24, 2022.

The client alleges that a misrepresentation was made in May of 2015.

There are Recent Customer Complaints with Broker Matthew Gates in Firm Vcs Venture Securities

November 24, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Gates (Gates), currently associated with Vcs Venture Securities, has at least one disclosable event. These events include one customer complaint, alleging that Gates 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 May 23, 2022.

Unsuitability and excessive trading

There are Recent Customer Complaints with Broker Joy Shane in Firm First Command Brokerage Services, INC.

November 24, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joy Shane (Shane), currently associated with First Command Brokerage Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Shane 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 $9,122.27 on May 23, 2022.

Plaintiff [REDACTED] filed a complaint in the US District Court for the Eastern District of Virginia, Alexandria Division, claiming damages of $9,122.27 plus punitive fees, etc.\\u00a0 The plaintiff alleges defendants (including First Command and Diane Shane), delayed in assisting him to reregister a joint account after the other joint owner passed away, which resulted in losses due to market fluctuation.

Broker Daniel Malachowski in Cetera Wealth Services, LLC Firm Has Customer Complaint

November 24, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Malachowski (Malachowski), currently associated with Cetera Wealth Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Malachowski 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 $43,470.00 on May 20, 2022.

Not fully investigating and/or disclosing the full costs of an insurance policy.

Broker James Stewart in Edward Jones Firm Has Customer Complaint

November 24, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Stewart (Stewart), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Stewart 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 $16,416.14 on May 23, 2022.

The client alleges he was not informed of the surrender penalties when he liquidated his annuity.

There are Recent Customer Complaints with Broker Barbaraann Bernatzky in Firm Henley & Company LLC

November 24, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint on May 23, 2022.

Without admitting or denying the findings, Bernatzky consented to the sanction and to the entry of findings that she refused to appear for on-the-record testimony requested by FINRA in connection with its investigation regarding potential misconduct that occurred her member firm’s branch office.