Articles Posted in Reg BI

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Molly Vannier (Vannier), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Vannier 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 $55,000.00 on November 15, 2022.

Plaintiff, individually and as personal representative of the client's estate, asserts various claims alleging Defendants failed to properly disburse decedent's accounts. Specifically, Plaintiff alleges that on or about September 27, 2021, Defendants permitted a disbursement from the decedent's account to another individual when the Plaintiff was the proper beneficiary.

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

FINRA BrokerCheck shows a settled customer complaint on July 22, 2025.

The client verbally complained that the Financial Advisor used accounts for collateral against a credit line and without her permission. (10/22/2020 – 7/22/2025)

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jorge Valdes (Valdes), currently associated with the Leaders Group, INC., has at least one disclosable event. These events include one customer complaint, alleging that Valdes 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 $96,300.00 on June 13, 2025.

Consisting of Twisting, Misrepresenting, Forgery/False Attestation.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Troy Brown (Brown), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Brown 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 $75,000.00 on April 22, 2024.

Administrator of client's estate alleges financial advisor violated his fiduciary duty owed to client by permitting the POA to name himself as sole beneficiary of client's account when he allegedly knew client had diminished capacity.

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

FINRA BrokerCheck shows a pending customer complaint on July 30, 2025.

THE CLAIMANT ALLEGES THAT THE RECOMMENDATION OF A MUNICIPAL BOND FUND WAS NOT IN KEEPING WITH HER INVESTMENT NEEDS AND OBJECTIVES, AND THAT FULL DISCLOSURE WAS NOT MADE REGARDING THE RISKS ASSOCIATED WITH THE INVESTMENT.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Mullen (Mullen), currently associated with B. Riley Wealth Management, has at least one disclosable event. These events include one customer complaint, alleging that Mullen 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 $781,536.00 on December 05, 2024.

Claimant alleges Mr. Mullen, who was not Claimant's broker, profited from the sale of securities where alleged affiliate relationships were undisclosed. Claimant did not allege a time period.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jake Fruge (Fruge), previously associated with PFS Investments INC., has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Fruge recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

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

Plaintiffs allege they purchased e-commerce stores and digital real estate from Champion E-Com, which was operated by Ian Prukner, Jake Fruge, Mellon Weaver and another individual. Plaintiffs allege, among other things, that he e-commerce stores and digital real estate were unregistered securities. Plaintiffs were not customers of PFS  Investments and the compliant indicates that they made their purchases after Prukner, Fruge and Weaver were no longer associated with PFS Investments.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Miller (Miller), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Miller recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

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

Client alleges failure to follow instructions related to a transfer of funds.

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

FINRA BrokerCheck shows a pending customer complaint on October 27, 2025.

Claimants allege unsuitable investment recommendations.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jason Merrill (Merrill), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Merrill 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 $19,793.98 on October 31, 2025.

The client alleged the advisor conducted unauthorized trading in her non-qualified Managed and Brokerage accounts on June 24, 2025.

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