Reg BI

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.

Broker Jimmy Driggers in Morgan Stanley Firm Has Customer Complaint

May 21, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jimmy Driggers (Driggers), previously associated with Morgan Stanley, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Driggers 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 $5,000,000.00 on March 04, 2026.

Claimant alleges, inter alia, that the investment strategy executed in the client’s account was unsuitable Apr 2008 – Mar 2021

There are Recent Customer Complaints with Broker Lawrence Labine in Firm Newbridge Securities Corporation

May 21, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lawrence Labine (Labine), previously associated with Newbridge Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Labine 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 $250,000.00 on March 04, 2026.

Breach of fiduciary duty and negligence.

Broker Kenneth Arena in Cetera Wealth 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 Kenneth Arena (Arena), currently associated with Cetera Wealth Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Arena 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 $500,000.00 on March 04, 2026.

Breach of contract, breach of fiduciary duty, failure to supervise, negligence, misrepresentations, violation of finra rules, violation of the state and federal securities laws, and violation of the best interest obligations (reg b1).

There are Recent Customer Complaints with Broker Cassidy Bearinger in Firm Principal Securities, INC.

May 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Cassidy Bearinger (Bearinger), currently associated with Principal Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Bearinger 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 $6,680.00 on March 06, 2026.

The client alleged that the registered representative did not enter his trade orders as requested.