Reg BI

There are Recent Customer Complaints with Broker Francis Zoracki in Firm Cambridge Investment Research, INC.

March 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Francis Zoracki (Zoracki), currently associated with Cambridge Investment Research, INC., has at least one disclosable event. These events include one customer complaint, alleging that Zoracki 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 December 23, 2025.

Client’s allege the RR recommended an investment that was unsuitable given their stated financial profile. Additionally, clients allege unauthorized trading occurred.

There are Recent Customer Complaints with Broker Alvery Bartlett in Firm Aegis Capital Corp.

March 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alvery Bartlett (Bartlett), previously associated with Aegis Capital Corp., has at least one disclosable event. These events include one customer complaint, alleging that Bartlett 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.

Time frame: March 2021. Claimants allege investment is unsuitable.

There are Recent Customer Complaints with Broker Brandon Burr in Firm Edward Jones

March 3, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brandon Burr (Burr), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Burr 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 $82,500.00 on January 14, 2026.

Client alleges Financial Advisor recommended a tax loss harvesting strategy that would require selling of shares of American Funds. However, Financial Advisor also sold 337 shares of Tesla stock that the client did not authorize.

There are Recent Customer Complaints with Broker William Duffy in Firm Innovation Partners LLC

March 3, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Duffy (Duffy), previously associated with Innovation Partners LLC, has at least one disclosable event. These events include one customer complaint, alleging that Duffy 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 January 14, 2026.

Violations of federal securities laws, Violations of the Colorado Securities Act, Violation of Colorado Consumer Protection Act, breach of contract, common law fraud, breach of fiduciary duty, negligence and gross negligence,

There are Recent Customer Complaints with Broker Samuel Shepherd in Firm LPL Financial LLC

March 3, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Samuel Shepherd (Shepherd), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Shepherd 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 $1,400,000.00 on January 05, 2026.

Customer alleges the representative did not act in the best interest of the retail customer by recommending an unsuitable securities investment for the customer’s investment objectives between March 2022 through November 2022

Broker Scott Swinchock in LPL Financial LLC Firm Has Customer Complaint

March 3, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on January 02, 2026.

Customers allege misrepresentations and failure to exercise reasonable care regarding indexed universal life insurance policy in late 2020 or early 2021.

There are Recent Customer Complaints with Broker Sean Vappie in Firm Edward Jones

March 3, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sean Vappie (Vappie), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Vappie 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 $2,100,000.00 on January 07, 2026.

Customer alleges registered representative conducted an unapproved outside transaction. Activity dates 02/17/23 through 08/08/25.

There are Recent Customer Complaints with Broker Francisco Cabral in Firm Ameriprise Financial Services, LLC

March 3, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Francisco Cabral (Cabral), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Cabral 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 January 12, 2026.

Allegations: unsuitability, misrepresentations and omissions and breach of fiduciary duty. Allegation period: April 16, 2019, the date of the first purchase of Energy 12 to January 12, 2026, the date the SOC was received.

There are Recent Customer Complaints with Broker Donald Vieth in Firm Great Point Capital LLC

March 3, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on January 20, 2026.

Breach of fiduciary duty, common law fraud, breach of contract, negligence/negligent misrepresentation/omission.

Broker Travis Tom in Wells Fargo Clearing Services, LLC Firm Has Customer Complaint

March 3, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on December 31, 2025.

Client complains that Financial Advisor purchased securities without authorization and demands compensation for losses incurred when securities were sold. (11/20/2025-11/21/2025)