Reg BI

Broker Drew Pickard in Morgan Stanley Firm Has Customer Complaint

November 26, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Drew Pickard (Pickard), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Pickard 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 $5,200.00 on May 09, 2022.

Client alleged that the Advisor failed to follow the client’s instructions to liquidate her accounts prior to transfer. Allegation period May 3, 2022 to May 9, 2022.

Broker Gerald Roth in Thrivent Investment Management INC. Firm Has Customer Complaint

November 26, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on May 09, 2022.

Client alleged variable annuity subaccount reallocation did not take place as requested in April 2022.

There are Recent Customer Complaints with Broker Michael Timmons in Firm Edward Jones

November 26, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Timmons (Timmons), previously associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Timmons 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 $19,000.00 on May 09, 2022.

The financial advisor made a recommendation to move to a tax advisory and caused tax implications.

There are Recent Customer Complaints with Broker Clifford Rosner in Firm Voya Financial Advisors, INC.

November 26, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Clifford Rosner (Rosner), previously associated with Voya Financial Advisors, INC., has at least one disclosable event. These events include one customer complaint, alleging that Rosner 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 $200,000.00 on May 12, 2022.

Claimant alleges that recommendations to purchase alternative investments were unsuitable and misrepresented at the time of purchase in 2015.

There are Recent Customer Complaints with Broker Christopher Endres in Firm Arvest Wealth Management

November 25, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Endres (Endres), currently associated with Arvest Wealth Management, has at least one disclosable event. These events include one customer complaint, alleging that Endres 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 $32,224.89 on May 13, 2022.

Chris Endres solicited a whole life policy for [REDACTED] and told the customer that he would be able to take out what he put into the policy and that if the funds were taken out, the policy would just lapse. This was a material misstatement that was caught in follow up meetings with the customer by another associate. Customer has verbally requested that the policy be surrendered, and that he wants to be reimbursed the full premium amount of $97,360, of which $32,224.89 is to be paid by Arvest Wealth Management.

There are Recent Customer Complaints with Broker Jazlynn Torres in Firm Vanguard Marketing Corporation

November 25, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on May 18, 2022.

Client alleges that the Financial Advisor failed to follow their instructions to liquidate their mutual fund position and reallocate the proceeds to a money market fund. The dates when the activities took place are March 22, 2022 thru May 20, 2022.

Broker Jesse Burns in Fidelity Brokerage Services LLC Firm Has Customer Complaint

November 25, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jesse Burns (Burns), currently associated with Fidelity Brokerage Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Burns 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 $22,873.74 on May 13, 2022.

Customer alleged that the representative misrepresented the risk of investments losses in her managed account.

There are Recent Customer Complaints with Broker Javier Rojo in Firm J.P. Morgan Securities LLC

November 25, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Javier Rojo (Rojo), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Rojo 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 $78,467.67 on May 15, 2022.

Customer alleges misrepresentation and unauthorized trading regarding managed investment account. Activity dates 4/1/22 – 5/9/22.

Broker Adam Feierstein in Proequities, INC. Firm Has Customer Complaint

November 25, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Adam Feierstein (Feierstein), previously associated with Proequities, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Feierstein 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 $400,000.00 on May 16, 2022.

Claimants allege that Mr. Feierstein recommended an unsuitable investment.

Broker Randal Egan in Edward Jones Firm Has Customer Complaint

November 25, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on May 18, 2022.

Client alleges he instructed his financial advisor to liquidate his account, but the order was not executed until days later resulting in market loss.