Reg BI

Broker Adam Cavise in Revere Securities LLC Firm Has Customer Complaint

July 5, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on October 10, 2023.

Customer alleged that RR failed to follow instructions; specifically, instructed the RR to sell shares upon trading and additional shares, resulting in losses. Dates of activity were not indicated.

Broker Mark Cline in National Securities Corporation Firm Has Customer Complaint

July 5, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Cline (Cline), previously associated with National Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Cline 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 05, 2023.

Client claims GWG investment was not suitable.

There are Recent Customer Complaints with Broker Casey Walker in Firm LPL Financial LLC

July 5, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Casey Walker (Walker), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Walker 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 $375,000.00 on October 10, 2023.

Claimants allege they were recommended unsuitable investments.

Broker Guillermo Machuca in First Southern, LLC Firm Has Customer Complaint

July 5, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on October 05, 2023.

Time frame: Unspecified Allegations: Claimant alleges the recommendation to invest in and hold Puerto Rico closed-end funds was unsuitable, and that his account was unsuitably over concentrated in Puerto Rico investments. He also alleges that the risks of investing in and concentration in Puerto Rico investments was misrepresented.

Broker George Howe in Usca Securities LLC Firm Has Customer Complaint

July 5, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker George Howe (Howe), currently associated with Usca Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Howe 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 $20,000.00 on October 10, 2023.

Client is a 23-year-old professional baseball player who indicated he had a moderate aggressive risk profile and was seeking capital appreciation. After suffering losses during 2022, he filed a complaint with FINRA alleging unauthorized transactions. However, the account was a discretionary advisory account. Although the investments in the account were consistent with the client’s stated risk profile, looking back at his relationship with the client, Mr. Howe felt there could have been more communication to educate the client about the account and the impact of the market. So, as a measure of goodwill, Mr. Howe agreed to reimburse the client for advisory fees and a portion of his losses.

There are Recent Customer Complaints with Broker Todd Bruns in Firm Edward Jones

July 5, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Todd Bruns (Bruns), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Bruns 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 $54,403.62 on October 04, 2023.

Claimant, as trustee of deceased client’s trust, alleges that despite the explicit suggestion of the trustee that the assets held by Edward Jones be liquidated and placed in a money fund, the monies were invested resulting in a loss.

Broker Bryan Foster in LPL Financial LLC Firm Has Customer Complaint

July 5, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bryan Foster (Foster), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Foster 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 $35,000.00 on October 03, 2023.

Customer alleges representative made unsuitable recommendations during the period August 2016 to October 2023.

There are Recent Customer Complaints with Broker Matthew West in Firm Usca Securities LLC

July 5, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew West (West), currently associated with Usca Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that West 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 $3,000,000.00 on October 05, 2023.

Client is an experienced investor with an estimated net worth of over $6.5 million who actively monitored and participated in investment decisions in his accounts. Client complains of losses and missed opportunity related to specific investments that go back five years, but overall his accounts were profitable while at USCA. The client complains about a security that was initially recommended by USCA, but the client continued to make unsolicited purchases when the security’s price had already started to decline.

There are Recent Customer Complaints with Broker David Wilke in Firm Capital Investment Group, INC.

July 5, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Wilke (Wilke), currently associated with Capital Investment Group, INC., has at least one disclosable event. These events include one customer complaint, alleging that Wilke 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 $300,000.00 on October 09, 2023.

Client alleges breach of fiduciary duty, negligence, breach of contract, fraud, and negligent supervision related to sales of GWG L-bonds. GWG filed for Chapter 11 reorganization on 04/20/2022.

Broker Steven Kocher in UBS Financial Services INC. Firm Has Customer Complaint

July 5, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on October 10, 2023.

Time Frame: August 13, 2021 to December 7th, 2022\, \, What were the allegations against the individual? The client’s attorney alleges the recommendation to purchase a security was not in his client’s best interest, was unsuitable, and was a breach of fiduciary duty. The alleged damages are estimated to be in excess of $5,000.00.