Reg BI

There are Recent Customer Complaints with Broker Dustin Ward in Firm Osaic Wealth, INC.

January 19, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dustin Ward (Ward), currently associated with Osaic Wealth, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Ward 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 $50,000.00 on October 27, 2021.

Customer alleges representative recommended an unsuitable real estate investment trust in 2013.

There are Recent Customer Complaints with Broker Kevin Mccoy in Firm Cetera Investment Services LLC

January 19, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on October 29, 2021.

Customer alleges unsuitable investment.

Broker Khay Sung in Asia Pacific Financial Management Group, INC. Firm Has Customer Complaint

January 19, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Khay Sung (Sung), previously associated with Asia Pacific Financial Management Group, INC., has at least one disclosable event. These events include one customer complaint, alleging that Sung 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 $2,200,000.00 on October 28, 2021.

Sung was a subject of a customer complaint against his member firm that asserted the following causes of action: negligence; failure to recommend suitable investments; failure to supervise broker, account, and transactions; unauthorized trading; violations of FINRA Rule 2020 and FINRA Rule 2150; breach of fiduciary duty; breach of contract; violations of the Guam Uniform Securities Act; and respondeat superior.

There are Recent Customer Complaints with Broker Christina Garland in Firm Kestra Investment Services, LLC

January 19, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on October 29, 2021.

Customer complained that he had not authorized the sale of Exxon shares in his advisory account in April 2021, and requested restoration of the shares to his account. Activity period: 4/7/21 to 4/7/21.

Broker John Phillips in Metlife Securities INC. Firm Has Customer Complaint

January 19, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Phillips (Phillips), previously associated with Metlife Securities INC., has at least 3 disclosable events. These events include 3 customer complaints, alleging that Phillips recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on October 29, 2021.

The complainant alleges that in or around 2006/2007, the rep made false statements and omitted known material facts in order to intentionally deceive the complainant when the rep advised him to sell the shares that the complainant held in the company CB&B.

There are Recent Customer Complaints with Broker Maziar Monshi in Firm Ifp Securities, LLC

January 19, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Maziar Monshi (Monshi), currently associated with Ifp Securities, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Monshi 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 $600,000.00 on October 28, 2021.

Claimant alleges that certain transactions executed on her behalf were not suitable or excessive and made without Claimant’s authorization. Claimant further alleges that she was asked to sign blank forms and that certain funds were misappropriated or misused by her registered representative/ spouse. Activity period: 5/2016 – 5/2019.

There are Recent Customer Complaints with Broker Scott Mcquilken in Firm Morgan Stanley

January 19, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on October 27, 2021.

Unsuitable products during 2015 through 2017

There are Recent Customer Complaints with Broker Russell Cramer in Firm Kalos Capital, INC.

January 19, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Russell Cramer (Cramer), previously associated with Kalos Capital, INC., has at least 4 disclosable events. These events include 4 customer complaints, alleging that Cramer recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on November 01, 2021.

UNSUITABLE INVESTMENTS IN HIGH COMMISSION, COMPLEX ALTERNATIVE INVESTMENTS AND MULTIPLE ILLIQUID INVESTMENT PRODUCTS.

There are Recent Customer Complaints with Broker William Chancellor in Firm First Allied Securities, INC.

January 19, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Chancellor (Chancellor), previously associated with First Allied Securities, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Chancellor 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 $132,000.00 on November 02, 2021.

Claimant alleges former registered representative recommended alternative investments which were unsuitable.

Broker Becky Mathre in D.h. Hill Securities, Lllp Firm Has Customer Complaint

January 19, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Becky Mathre (Mathre), previously associated with D.h. Hill Securities, Lllp, has at least one disclosable event. These events include one customer complaint, alleging that Mathre 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 $1,000,000.00 on November 02, 2021.

Claimant alleges violation of FINRA rules 2110 and 2111, negligence, misrepresentation, breach of fiduciary duty, and failure to supervise.