Reg BI

Broker John Clark in LPL Enterprise, LLC Firm Has Customer Complaint

October 29, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Clark (Clark), previously associated with LPL Enterprise, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Clark 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 $25,000.00 on September 22, 2025.

Customer alleges that an investment made in September 2023 was unsuitable for the customer’s investment objectives and risk tolerance.

Broker Joshua Chapin in Emerson Equity LLC Firm Has Customer Complaint

October 29, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joshua Chapin (Chapin), currently associated with Emerson Equity LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Chapin recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on September 24, 2025.

Violation of Federal Securities Laws, Violations of the California Securities Act, Breach of Contract, Common Law Fraud, Breach of Fiduciary Duty, Negligence and Gross Negligence,

Broker Jeremiah Vickery in LPL Financial LLC Firm Has Customer Complaint

October 29, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on September 22, 2025.

In or around 2014, the complainant alleges that she was advised to cash out two inherited 401k plans early, which caused her to incur penalties, in order to purchase a life insurance policy whose value is now depleted.

Broker Joshua Jaffe in Steward Partners Investment Solutions, LLC Firm Has Customer Complaint

October 29, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joshua Jaffe (Jaffe), currently associated with Steward Partners Investment Solutions, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Jaffe 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 $202,330.00 on September 22, 2025.

The client alleged that the advisor made an unsuitable recommendation early in 2021 to establish a variable-rate securities backed line of credit attached to their Strategic Portfolio Services Advantage account.

Broker Elizabeth Morrell in Western International Securities, INC. Firm Has Customer Complaint

October 29, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Elizabeth Morrell (Morrell), previously associated with Western International Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Morrell 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 $50,000.00 on September 23, 2025.

Unsuitable recommendation of corporate bonds in 2018.

There are Recent Customer Complaints with Broker Justin Walker in Firm MML Investors Services, LLC

October 29, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Justin Walker (Walker), currently associated with MML Investors Services, 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 pending customer complaint on September 22, 2025.

In or around 2014, the complainant alleges that she was advised to cash out two inherited 401k plans early, which caused her to incur penalties, in order to purchase a life insurance policy whose value is now depleted.

There are Recent Customer Complaints with Broker So Young Yom in Firm Nylife Securities LLC

October 29, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on September 22, 2025.

The policyowner alleges that the RR did not fully explain the variable universal life insurance policies sold to her parents in December 2013, and that the ownership of the policies was transferred to her without her knowledge or consent. The policyowner has requested a refund of premiums paid.

There are Recent Customer Complaints with Broker Bradley Secord in Firm Wells Fargo Clearing Services, LLC

October 29, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on September 26, 2025.

Plaintiff alleges the FA made misrepresentations and omissions that permitted accounts to be reduced to a zero balance by 2017 without notice to or knowledge of the Plaintiff account holder.

Broker Derek Grimm in RBC Capital Markets, LLC Firm Has Customer Complaint

October 29, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on September 25, 2025.

The customer alleges unsuitable investments, misrepresentations and omissions, and that the Financial Advisor was not acting in her best interest.

Broker John Lee in Independent Financial Group, LLC Firm Has Customer Complaint

October 29, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on September 22, 2025.

(1)unsuitable investments (2) misrepresentation (3) negligence (4) breach of fiduciary duty in connection with reit investments