Reg BI

There are Recent Customer Complaints with Broker David Mccain in Firm LPL Financial LLC

March 5, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Mccain (Mccain), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mccain 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 $2,000,000.00 on December 16, 2025.

Customer alleges that the representative failed to provide information and requested statements for her account(s).

Broker Philip Pluta in J.P. Morgan Securities LLC Firm Has Customer Complaint

March 5, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Philip Pluta (Pluta), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Pluta 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 $13,530.00 on December 17, 2025.

Customer alleges unsuitable investment recommendation. Activity dates 11/12/2025 – 12/17/2025.

Broker Phyllis Henderson in Thinkequity LLC Firm Has Customer Complaint

March 5, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Phyllis Henderson (Henderson), currently associated with Thinkequity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Henderson 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 $215,990.00 on December 22, 2025.

Claimant, an extremely sophisticated, experienced, high net worth investor alleges a suitability claim regarding one of his investments.

There are Recent Customer Complaints with Broker William Baquet in Firm Thinkequity LLC

March 5, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Baquet (Baquet), currently associated with Thinkequity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Baquet 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 $215,990.00 on December 22, 2025.

Claimant, an extremely sophisticated, experienced, high net worth investor alleges a suitability claim regarding one of his investments.

There are Recent Customer Complaints with Broker Vincent Annable in Firm Realta Equities, INC.

March 5, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on December 18, 2025.

The claimants allege they were directly lied to and facts were misrepresented about investments.

There are Recent Customer Complaints with Broker Timothy Sherer in Firm Emerson Equity LLC

March 5, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on December 16, 2025.

Suitability

There are Recent Customer Complaints with Broker Loren Grabau in Firm Independent Financial Group, LLC

March 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Loren Grabau (Grabau), previously associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Grabau 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 $213,142.00 on December 24, 2025.

Alleges accounts were subjected to high management fees, margin charges and commissions that were not suitable/appropriate and that resulted in losses.\,

Broker Nicholas Olivas in Prospera Financial Services, INC. Firm Has Customer Complaint

March 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nicholas Olivas (Olivas), currently associated with Prospera Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Olivas 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 $300,000.00 on December 23, 2025.

Customer alleges the representative did not act in the best interest of the retail customer by recommending an investment strategy which was unsuitable for the customer’s investment objectives between January and February 2025.

Broker Rikki Foster in Concorde Investment Services, LLC Firm Has Customer Complaint

March 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Rikki Foster (Foster), currently associated with Concorde Investment Services, 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 pending customer complaint on December 23, 2025.

Alleging unsuitability, lack of due diligence on product, breach of fiduciary duty, negligence, and failure to supervise.

There are Recent Customer Complaints with Broker Evguenia Funderburk in Firm Ameriprise Financial Services, LLC

March 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Evguenia Funderburk (Funderburk), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Funderburk 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 $15,000.00 on December 29, 2025.

The client alleged her advisor misrepresented how funds were made available to her for withdrawal in 2022 and 2023, creating a margin loan within the client’s account.