Reg BI

There are Recent Customer Complaints with Broker Robert Thompson in Firm the O.n. Equity Sales Company

November 19, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Thompson (Thompson), previously associated with the O.n. Equity Sales Company, has at least one disclosable event. These events include one customer complaint, alleging that Thompson 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 $2,325,953.00 on October 08, 2025.

The lawsuit alleges Thompson misappropriated monies awarded to the customer via damages associated with a commercial vehicle event to his own use between September 2023 and August 2025.

Broker Nicholas Wyzkiewicz in Gwn Securities INC. Firm Has Customer Complaint

November 18, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nicholas Wyzkiewicz (Wyzkiewicz), currently associated with Gwn Securities INC., has at least one disclosable event. These events include one customer complaint, alleging that Wyzkiewicz 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 $5,583.95 on May 20, 2022.

ON 5/17/2022 around 2:45pm a client [REDACTED] called rep’s Nicholas Wyzkiewicz’s office and left him a message asking to sell to cash the entire 403B account. The rep received a message after the market hours and submitted the trade immediately that night. The trade was executed as of 5/18 close. On 5/18 market dropped significantly. Client called on 5/18 and requested the rep to pay the difference of $5,583.95 because the rep’s recorded message did not make clear that trades cannot be accepted through voicemail the trade was corrected. Rep corrected the trade and paid the client the difference of $5,583.95

There are Recent Customer Complaints with Broker Craig Fishel in Firm Edward Jones

November 18, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on May 27, 2022.

This Customer Complaint did not meet our criteria for reporting initially, its being reported now due to the Settlement.

Broker Adam Peacock in Nylife Securities LLC Firm Has Customer Complaint

November 18, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on May 25, 2022.

Customer alleges that his specific instructions on July 18, 2021 to transfer the allocation of his Variable Annuities to conservative investments were not completed; resulting in market losses.

Broker Kavi Fulena in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

November 18, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kavi Fulena (Fulena), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Fulena recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on May 27, 2022.

The customer alleges unsuitable investment recommendation in September 2020, misrepresentation and failure to follow instructions to move money out of the market at a certain threshold.

Broker Stephen Brown in First Command Brokerage Services, INC. Firm Has Customer Complaint

November 18, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stephen Brown (Brown), currently associated with First Command Brokerage Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Brown 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. The plaintiff alleges defendants (including First Command and Stephen Brown), delayed in assisting him to re-register a joint account after the other joint owner passed away, which resulted in losses due to market fluctuation.

There are Recent Customer Complaints with Broker Seth Bassin in Firm Nylife Securities LLC

November 18, 2025 | by Staff Attorney

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

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

Customer alleges that she was not informed of the tax conseqences resulting from the July 2021 transfer of the proceeds from her Variable Annuity at another Firm to a managed account with Eagle Strategies.

Broker Gary Martin in Vanguard Marketing Corporation Firm Has Customer Complaint

November 18, 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.

There are Recent Customer Complaints with Broker Joshua Alloway in Firm Equitable Advisors, LLC

November 18, 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 18, 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.