Reg BI

There are Recent Customer Complaints with Broker Bradley Gardner in Firm LPL Financial LLC

May 23, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on March 29, 2024.

Plaintiff alleges that from 2006 through 2008, the financial advisor made unsuitable recommendations.

There are Recent Customer Complaints with Broker Norman Meyer in Firm Ni Advisors / Vestech Securities, INC.

May 23, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Norman Meyer (Meyer), currently associated with Ni Advisors / Vestech Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Meyer 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 $650,000.00 on July 18, 2024.

Unsuitable investments in variable annuities and non traded REITS. Basic statements received from investments.

Broker Edwin Murphy in Equity Services, INC. Firm Has Customer Complaint

May 23, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Edwin Murphy (Murphy), currently associated with Equity Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Murphy 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 $50,000.00 on March 27, 2024.

Allegations of unsuitable investments and failure to execute.

There are Recent Customer Complaints with Broker Earl Hamilton in Firm Raymond James Financial Services, INC.

May 23, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Earl Hamilton (Hamilton), currently associated with Raymond James Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Hamilton 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 $251,901.00 on June 05, 2024.

Executrix of deceased client’s estate alleges concerns over alleged mutual fund share classes in client’s account, missed breakpoints, rights of accumulation, and excessive commissions and fees, and also alleges possible concerns regarding the suitability of a non-qualified annuity.

Broker Jeffrey Poosch in Prospera Financial Services, INC. Firm Has Customer Complaint

May 23, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Poosch (Poosch), currently associated with Prospera Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Poosch 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 $26,000.00 on June 17, 2024.

Client requested reimbursement of an annuity surrender charge relating to an exchange transaction in April 2022.

Broker Joseph Eades in Capital Investment Group, INC. Firm Has Customer Complaint

May 23, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Eades (Eades), currently associated with Capital Investment Group, INC., has at least one disclosable event. These events include one customer complaint, alleging that Eades 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 $114,000.00 on July 18, 2024.

GWG Holdings, Inc. filed Chapter 11 bankruptcy on April 20, 2022. Complaint alleges unsuitable recommendations, misrepresentation and omissions of material fact, breach of contract, breach of fiduciary duty and, negligence and gross negligence related to an investment in GWG L-Bonds.\, \, On 08/12/2024, an amended Statement of Claim was filed by plaintiffs’ counsel, increasing the damage amount from $82,000 to $114,000. The amendment was not known to the firm until 11/05/2024, at which time a Form U4 amendment was filed to state the new amount.

There are Recent Customer Complaints with Broker Grace Choi in Firm Equitable Advisors, LLC

May 23, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 27, 2024.

Claimant alleges REIT purchased in 2015 was unsuitable.

There are Recent Customer Complaints with Broker Craig Isaacson in Firm Wells Fargo Clearing Services, LLC

May 23, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 27, 2024.

Customer verbally complained that she did not wish to have individual stocks sold, causing taxes on capital gains, when she incepted into a managed account program. (4/23/2023-3/27/2024)

There are Recent Customer Complaints with Broker Frederick Salus in Firm Wells Fargo Clearing Services, LLC

May 23, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Frederick Salus (Salus), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Salus 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 $595,000.00 on September 06, 2024.

Attorney for customers complains that the financial advisor’s Advice and management were not in line with the customer’s investment objectives, resulting in missing significant gains, and that fees were not discussed and did not provide a better investment outcome. (3/21/2006-9/6/2024)

There are Recent Customer Complaints with Broker William Esposito in Firm Osaic Wealth, INC.

May 23, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Esposito (Esposito), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Esposito 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 $10,000.00 on March 27, 2024.

Claimant alleges unsuitable recommendation and sale of an alternative investment.