Reg BI

There are Recent Customer Complaints with Broker Chuck Roberts in Firm Stifel, Nicolaus & Company, Incorporated

June 18, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Chuck Roberts (Roberts), currently associated with Stifel, Nicolaus & Company, Incorporated, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Roberts 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 $500,000.00 on June 12, 2025.

Claimants allege breach of fiduciary duty, negligence, fraud, breach of contract, violation of sections 10(b) and 20(a) of the Securities Exchange Act and Rule 10b-5, and violation of the Florida Securities and Investor Protection Act.

There are Recent Customer Complaints with Broker Robert Earls in Firm LPL Financial LLC

June 18, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Earls (Earls), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Earls 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 $10,000.00 on May 12, 2025.

July 2017

There are Recent Customer Complaints with Broker Charles Weldon in Firm Independent Financial Group, LLC

June 18, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Charles Weldon (Weldon), currently associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Weldon 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 $400,000.00 on May 16, 2025.

Allege representative violated rules and industry standards of conduct resulting in losses

There are Recent Customer Complaints with Broker Joseph Maukonen in Firm Park Avenue Securities LLC

June 17, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on June 21, 2023.

The client alleges the financial advisor failed to follow instructions to invest funds in his IRA account in October 2022.

There are Recent Customer Complaints with Broker Jason Wetsel in Firm LPL Financial LLC

June 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jason Wetsel (Wetsel), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Wetsel 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 $60,000.00 on June 22, 2023.

Customer alleged unsuitable recommendations (4/16/14-3/29/23)

Broker Brenton Ditto in LPL Financial LLC Firm Has Customer Complaint

June 17, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on June 20, 2023.

Complaint alleges unsuitable recommendation

Broker James Parrish in B. Riley Wealth Management Firm Has Customer Complaint

June 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Parrish (Parrish), previously associated with B. Riley Wealth Management, has at least one disclosable event. These events include one customer complaint, alleging that Parrish 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 June 21, 2023.

IAR advised client to liquidate holdings, instead of transferring the holdings in kind, prior to transfer of assets to Firm. Client states that he incurred a long-term capital gains tax liability as a result of the advice provided and subsequent liquidation.

Broker Jerod Tilton in U.S. Bancorp Investments, INC. Firm Has Customer Complaint

June 17, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint with a damage request of $100,000.00 on June 20, 2023.

Customers allege that they received improper investment advice resulting in a loss to the value of their variable annuity.

There are Recent Customer Complaints with Broker Joseph Randolph in Firm Wells Fargo Clearing Services, LLC

June 17, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on June 20, 2023.

Petitioner alleges that the FA did not give correct instructions for a beneficiary designation regarding the transfer-on-death beneficiary form thus causing the improper withdrawals and/or transfer of monies from the client’s accounts. Petitioner also alleges that the financial advisor was going to file a form to correct the designation post-death.

There are Recent Customer Complaints with Broker Maury Lomax in Firm Morgan Stanley

June 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Maury Lomax (Lomax), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Lomax 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 $1,000,000.00 on June 21, 2023.

Claimants alleged, inter alia, that the investments strategy executed in the clients’ account was not In their best interests – 2020-2022