Reg BI

There are Recent Customer Complaints with Broker Michael Haddigan in Firm Kovack Securities INC.

September 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Haddigan (Haddigan), currently associated with Kovack Securities INC., has at least one disclosable event. These events include one customer complaint, alleging that Haddigan 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 $75,000.00 on February 21, 2023.

Claimant alleges that he was sold unsuitable investments.

There are Recent Customer Complaints with Broker Edward Overdyke in Firm Silver Oak Securities, Incorporated

September 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Edward Overdyke (Overdyke), previously associated with Silver Oak Securities, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Overdyke 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 $5,000.00 on February 21, 2023.

“Overdyke completed several transactions inapposite to Plantiffs specific instructions”

There are Recent Customer Complaints with Broker Jacob Kagele in Firm Mutual Securities, INC.

September 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jacob Kagele (Kagele), previously associated with Mutual Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Kagele 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 $909,402.00 on February 15, 2023.

Claimant alleges unsuitable investments in corporate bonds from 2016 to 2021.

There are Recent Customer Complaints with Broker Tiffany Campbell in Firm Wells Fargo Clearing Services, LLC

September 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Tiffany Campbell (Campbell), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Campbell 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 $5,192.15 on February 17, 2023.

Client purchased annuity contract (a qualified account for $18,000 and a non-qualified account for $32,000) in December of 2011. Over 11 years later, client complained that optional benefit elections that she selected (and utilized) were not addressed at the time of sale and were not needed. Issuing insurance company settled the claim for nuisance value without input from or contributions by BSI or former representative.

There are Recent Customer Complaints with Broker Lewis Stein in Firm Newbridge Securities Corporation

September 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lewis Stein (Stein), previously associated with Newbridge Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Stein 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 February 15, 2023.

Breach of Fiduciary Duty, Negligence

Broker Robert Wilson in American Equity Investment Corporation Firm Has Customer Complaint

September 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Wilson (Wilson), previously associated with American Equity Investment Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Wilson 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 February 15, 2023.

On 3/22/2021 client purchased a $25,000 3-year and a $25,000 7-year bond with GWG Holdings Inc. GWG Holdings filed for Chapter 11 bankruptcy re-organization in April of 2022.

Broker Frank Auyeung in Morgan Stanley Firm Has Customer Complaint

September 20, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on February 16, 2023.

Claimant alleged, inter alia, that the investments strategy executed in the client’s account was unsuitable 2013-2023

Broker Paul Hauser in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

September 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Paul Hauser (Hauser), previously associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Hauser 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 February 20, 2023.

Unsuitability, misrepresentation/omission

There are Recent Customer Complaints with Broker James Lyons in Firm Raymond James & Associates, INC.

September 20, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on February 15, 2023.

Plaintiffs allege FA engaged in unauthorized trading, misrepresented to Raymond James that the trading was authorized, and concentrated their accounts in risky oil and gas securities.

Broker Marvin Schwartz in Neuberger Berman Bd LLC Firm Has Customer Complaint

September 20, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on February 16, 2023.

Complainant is a brokerage and discretionary investment advisory client of the firm. Complainant alleges that beginning in May 2021, his registered representative and investment adviser representative (who are the same person) failed to follow instructions regarding financing options for the acquisition of art and certain securities transactions, which securities transactions he further alleged were unsuitable.