Reg BI

Broker David Cohen in Cetera Investment Services LLC Firm Has Customer Complaint

May 21, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Cohen (Cohen), previously associated with Cetera Investment Services LLC, has at least 2 disclosable events. These events include one customer complaint, 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 March 03, 2026.

Without admitting or denying the findings, Cohen consented to the sanction and to the entry of findings that he refused to appear for on-the-record testimony requested by FINRA in connection with its investigation into whether he converted or misappropriated customer funds.

There are Recent Customer Complaints with Broker Mingqi Li in Firm Arkadios Capital

May 21, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on March 02, 2026.

Negligence, misrepresentation and omission of material facts, failure to meet suitability obligations, violations of California's "Blue Sky" law, breach of fiduciary duty, breach of contract

Broker Jill Murphy in Ameriprise Financial Services, LLC Firm Has Customer Complaint

May 21, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jill Murphy (Murphy), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Murphy 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 $5,185.00 on March 02, 2026.

The client alleged that the advisor made a poor recommendation to complete a Roth Conversion in 2025 because it rose their taxable income over the Affordable Care Act Benefit threshold.

Broker Michael Magruder in Raymond James & Associates, INC. Firm Has Customer Complaint

May 21, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Magruder (Magruder), previously associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Magruder 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 $600,000.00 on March 04, 2026.

Client alleges FA borrowed money from client and failed to repay it.

Broker David Houston in PFS Investments INC. Firm Has Customer Complaint

May 21, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Houston (Houston), currently associated with PFS Investments INC., has at least one disclosable event. These events include one customer complaint, alleging that Houston 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 $9,031.21 on March 04, 2026.

Client alleged I failed to disclose CDSC fees when she fully redeemed her mutual fund accounts after being invested only three months with no front-end sales charges.

There are Recent Customer Complaints with Broker Matthew Greene in Firm LPL Financial LLC

May 21, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on March 04, 2026.

Customer alleges that representative failed to adequately disclose risks in connection with an investment recommendation.

Broker Verma Satterfield in Edward Jones Firm Has Customer Complaint

May 21, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Verma Satterfield (Satterfield), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Satterfield 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 $7,500.00 on March 03, 2026.

Client alleges their financial advisor misrepresented the features of a US Treasury Bond.

Broker Emmet Martin in Trustmont Financial Group, INC. Firm Has Customer Complaint

May 21, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Emmet Martin (Martin), currently associated with Trustmont Financial Group, INC., 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 pending customer complaint with a damage request of $150,000.00 on March 04, 2026.

Respondent mishandled the claimant’s retirement assets. Failed to properly allocate and diversify claimant’s portfolio. Recommended inappropriate and unsuitable securities, including private placements or non-conventional investments. Failure to supervise its financial advisor, failure to appropriately train the financial advisor, failure to conduct due diligence or negligently conducted due diligence on the products.

Broker William Burks in Centaurus Financial, INC. Firm Has Customer Complaint

May 21, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Burks (Burks), currently associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Burks 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 March 02, 2026.

The customer alleges that in or about 2019, the Registered Representative recommended unsuitable, illiquid and high-risk investments.

There are Recent Customer Complaints with Broker Mark Lininger in Firm Equitable Advisors, LLC

May 21, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Lininger (Lininger), currently associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lininger 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 March 02, 2026.

Client alleges the RR misrepresented the advisory fees associated with the cash and fixed income within their account.