Reg BI

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

November 25, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven Ernst (Ernst), previously associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Ernst recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on May 14, 2022.

Client alleged misrepresentation concerning the use of margin from November 9, 2018 until April 30, 2022.

Broker John Crigler in Great Point Capital LLC Firm Has Customer Complaint

November 25, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Crigler (Crigler), currently associated with Great Point Capital LLC, has at least one disclosable event. These events include one customer complaint, alleging that Crigler 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 $100,000.00 on May 19, 2022.

Claimants allege breach of fiduciary duty, misrepresentation/non-disclosures, omission of facts, suitability, violation of Blue Sky Laws, breach of contract, failure to supervise, negligence.

Broker Nicholas Wyzkiewicz in Gwn Securities INC. Firm Has Customer Complaint

November 24, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nicholas Wyzkiewicz (Wyzkiewicz), currently associated with Gwn Securities INC., has at least one disclosable event. These events include one customer complaint, alleging that Wyzkiewicz 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 $5,583.95 on May 20, 2022.

ON 5/17/2022 around 2:45pm a client [REDACTED] called rep’s Nicholas Wyzkiewicz’s office and left him a message asking to sell to cash the entire 403B account. The rep received a message after the market hours and submitted the trade immediately that night. The trade was executed as of 5/18 close. On 5/18 market dropped significantly. Client called on 5/18 and requested the rep to pay the difference of $5,583.95 because the rep’s recorded message did not make clear that trades cannot be accepted through voicemail the trade was corrected. Rep corrected the trade and paid the client the difference of $5,583.95

There are Recent Customer Complaints with Broker Adam Peacock in Firm Nylife Securities LLC

November 24, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on May 25, 2022.

Customer alleges that his specific instructions on July 18, 2021 to transfer the allocation of his Variable Annuities to conservative investments were not completed; resulting in market losses.

There are Recent Customer Complaints with Broker Stephen Brown in Firm First Command Brokerage Services, INC.

November 24, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stephen Brown (Brown), currently associated with First Command Brokerage Services, INC., 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 settled customer complaint with a damage request of $9,122.27 on May 23, 2022.

Plaintiff [REDACTED] filed a complaint in the US District Court for the Eastern District of Virginia, Alexandria Division, claiming damages of $9,122.27 plus punitive fees, etc. The plaintiff alleges defendants (including First Command and Stephen Brown), delayed in assisting him to re-register a joint account after the other joint owner passed away, which resulted in losses due to market fluctuation.

There are Recent Customer Complaints with Broker Seth Bassin in Firm Nylife Securities LLC

November 24, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on May 23, 2022.

Customer alleges that she was not informed of the tax conseqences resulting from the July 2021 transfer of the proceeds from her Variable Annuity at another Firm to a managed account with Eagle Strategies.

Broker Gary Martin in Vanguard Marketing Corporation Firm Has Customer Complaint

November 24, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gary Martin (Martin), currently associated with Vanguard Marketing Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Martin 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 $18,000.00 on May 21, 2022.

Client alleges that Advisor did not follow his verbal instructions to immediately replenish his spending fund to $160,000 after a $80,000 withdraw was made, resulting in a larger sale of assets at a price lower than if the sale had occurred as discussed. The activity occurred between April 13, 2022 and July 10, 2022.

Broker Michael Caster in Vanguard Marketing Corporation Firm Has Customer Complaint

November 24, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on May 19, 2022.

Client alleges that the Financial Advisor failed to follow her instructions to set aside their cash position to be wired out, and the funds where instead reinvested. The dates when the activities took place are April 19, 2022 thru June 21, 2022.

Broker Joshua Alloway in Equitable Advisors, LLC Firm Has Customer Complaint

November 24, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on May 22, 2022.

The client alleges the RR sold them an unsuitable product in 2021, based on their needs.

Broker Chad King in Edward Jones Firm Has Customer Complaint

November 24, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Chad King (King), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that King 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 $5,000.00 on May 25, 2022.

The client alleges the financial advisor failed to follow her instructions to liquidate mutual funds.