Reg BI

There are Recent Customer Complaints with Broker Tammy Higgins in Firm RBC Capital Markets, LLC

November 14, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Tammy Higgins (Higgins), previously associated with RBC Capital Markets, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Higgins 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 $29,814.00 on June 27, 2022.

The client alleged bonds purchased in the client’s accounts in January 2022 were done so without her authorization.

There are Recent Customer Complaints with Broker James Van Meter in Firm Realta Equities, INC.

November 14, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Van Meter (Van Meter), currently associated with Realta Equities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Van Meter 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 $349,482.90 on June 29, 2022.

Client alleges that the representative recommended unsuitable investments beginning in 2020.

There are Recent Customer Complaints with Broker Christopher Watkins in Firm Silver Oak Securities, Incorporated

November 14, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Watkins (Watkins), previously associated with Silver Oak Securities, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Watkins 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 June 28, 2022.

The customer alleges unsuitable recommendations.

Broker Christopher Mackenzie in Investment Planners, INC. Firm Has Customer Complaint

November 14, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Mackenzie (Mackenzie), previously associated with Investment Planners, INC., has at least one disclosable event. These events include one customer complaint, alleging that Mackenzie 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 $499,000.00 on June 27, 2022.

Client attorney alleges unsuitable investment, breach of fiduciaryduty/ negligence and negligent supervision. From 2013-2016

There are Recent Customer Complaints with Broker Jennifer Ling in Firm Axiom Capital Management, INC.

November 14, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jennifer Ling (Ling), previously associated with Axiom Capital Management, INC., has at least one disclosable event. These events include one customer complaint, alleging that Ling 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 $400,000.00 on June 30, 2022.

Suitability

There are Recent Customer Complaints with Broker Alvin Miller in Firm PFS Investments INC.

November 14, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alvin Miller (Miller), currently associated with PFS Investments INC., has at least one disclosable event. These events include one customer complaint, alleging that Miller 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 $17,275.19 on June 21, 2022.

CUSTOMER ALLEGES THAT I IMPROPERLY ADVISED HER ON REDEEMING A TRUST ACCOUNT AFTER THE TRUSTEE’S DEATH.

Broker Barbara Fox in Suntrust Investment Services, INC. Firm Has Customer Complaint

November 14, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Barbara Fox (Fox), previously associated with Suntrust Investment Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Fox 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 $27,500.00 on June 22, 2022.

Customer alleges loan was made to the advisor in the amount of 27,500, and advisor did not repay. Firm received copy of loan agreements and payments made to advisor.

There are Recent Customer Complaints with Broker Wayne Stewart in Firm Realta Equities, INC.

November 14, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Wayne Stewart (Stewart), currently associated with Realta Equities, INC., 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 $50,001.00 on June 24, 2022.

Claimant alleges unsuitable recommendations, material misrepresentations, violation of fiduciary duty and fair dealing with customers, and failure to supervise.

Broker Cheryl Dial in Edward Jones Firm Has Customer Complaint

November 14, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Cheryl Dial (Dial), previously associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Dial 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 $32,185.62 on June 24, 2022.

Client alleges FA misrepresented the investment risk of a mutual fund which resulted in market loss to the client.

Broker Airinhos Serradas in Cambridge Investment Research, INC. Firm Has Customer Complaint

November 14, 2025 | by Staff Attorney

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

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

Claimant alleges he does not remember authorizing the representative to move funds into a money market annuity sub-account. Claimant also alleges the representative implemented an unsuitable investment strategy within the Claimant’s two variable annuities.