Reg BI

There are Recent Customer Complaints with Broker Chad Metzger in Firm Edward Jones

October 19, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Chad Metzger (Metzger), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Metzger 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 $420,000.00 on April 18, 2023.

Plaintiff alleges registered representative and his assistant failed to transfer funds from Plaintiff’s now deceased husband’s account to a bank savings account jointly titled in the name of the Plaintiff and her now deceased husband.

There are Recent Customer Complaints with Broker Karl Tweardy in Firm Fidelity Brokerage Services LLC

October 19, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Karl Tweardy (Tweardy), currently associated with Fidelity Brokerage Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Tweardy 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 January 23, 2023.

Client alleged he did not receive a product prospectus for the investment in question. Notes in the CRM file prior to contract issue indicated the RR understood the customer wanted 0% risk with this investment, however, allocation instructions which would have allowed for this level of loss protection were never passed along to the insurance carrier. The customer was invested in an allocation that limited total loss, but that did not totally eliminate it.

Broker Kevin Deangelis in Ameriprise Financial Services, LLC Firm Has Customer Complaint

October 19, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Deangelis (Deangelis), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Deangelis 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 $161,000.00 on January 27, 2023.

Claimant alleges his advisor recommended unsuitable investments including exchange traded funds.

There are Recent Customer Complaints with Broker Robert Alvarez in Firm Primus Financial Services, LLC

October 19, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Alvarez (Alvarez), currently associated with Primus Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Alvarez 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 $500,000.00 on April 17, 2023.

BREACH OF CONTRACT AND WARRANTIES, VIOLATION OF STATE SECURITIES STATUTES, VICARIOUS LIABILITY

Broker Jim Ayers in Silver Oak Securities, Incorporated Firm Has Customer Complaint

October 19, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jim Ayers (Ayers), previously associated with Silver Oak Securities, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Ayers 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 January 23, 2023.

Client alleges registered representative recommended an unsuitable investment.

Broker Gary Hughes in Concorde Investment Services, LLC Firm Has Customer Complaint

October 19, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gary Hughes (Hughes), previously associated with Concorde Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hughes 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 $150,000.00 on April 05, 2023.

Claim alleges unsuitable recommendations, common law fraud, breach of contract, negligent supervision, breach of fiduciary duty, negligence, violation of California Securities Act, and elder abuse in relation to investment made in February of 2020.

There are Recent Customer Complaints with Broker Loren Olson in Firm B.b. Graham & Company, INC.

October 19, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Loren Olson (Olson), previously associated with B.b. Graham & Company, INC., has at least one disclosable event. These events include one customer complaint, alleging that Olson 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 $121,000.00 on January 23, 2023.

Client dispute alleging product not appropriate. Date of activity leading to allegation: 09/1/2020

There are Recent Customer Complaints with Broker Scott Nash in Firm Merrill Lynch, Pierce, Fenner & Smith Incorporated

October 19, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Scott Nash (Nash), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Nash 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 $216,208.00 on April 18, 2023.

New Jersey client alleges their former financial advisor recommended unsuitable and excessive transactions in unspecified fixed income securities between 2018 and\, 2022 resulting in a loss.

There are Recent Customer Complaints with Broker Stanley Kaplan in Firm Sw Financial

October 19, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stanley Kaplan (Kaplan), previously associated with Sw Financial, has at least one disclosable event. These events include one customer complaint, alleging that Kaplan 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 $225,000.00 on January 23, 2023.

Unsuitability, excessive commissions, negligence, breach of fiduciary duty

There are Recent Customer Complaints with Broker John Savini in Firm Nylife Securities LLC

October 18, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on April 19, 2023.

Customer alleges he was misled into rolling over his deferred compensation plan into a variable annuity in October 2022. Customer further alleges that the recommended VA now precludes him from withdrawing his money without surrender charges. Customer requests waiving the surrender charges so that he can move his assets.