Reg BI

There are Recent Customer Complaints with Broker Phillip Farmer in Firm Vanguard Marketing Corporation

May 11, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on April 15, 2020.

Client alleges her advisor sold equities she specifically requested him to hold. This activity occurred between March 18, 2020 through May 6, 2020.

Broker Jonathan Murdock in Raymond James Financial Services, INC. Firm Has Customer Complaint

May 11, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on April 17, 2020.

Client alleges mutual fund trades placed in January 2019 were unauthorized.

There are Recent Customer Complaints with Broker Linda Olson in Firm Wells Fargo Advisors Financial Network, LLC

May 11, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Linda Olson (Olson), currently associated with Wells Fargo Advisors Financial Network, LLC, 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 on April 18, 2020.

An authorized party on the client’s account alleges the financial advisor failed to follow instructions to change the asset allocation in the client’s variable annuity.

There are Recent Customer Complaints with Broker Teresa Partain in Firm MML Investors Services, LLC

May 11, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Teresa Partain (Partain), previously associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Partain 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 $414,869.00 on April 20, 2020.

Client alleges breach of fiduciary duty, negligence respondeat superior liability – noble and violation of ga uniform securities act 2008, for moving her investment in late 2018 and the calendar year of 2019 + loss of principal in the investment during that year.

Broker Brian Booth in Stifel, Nicolaus & Company, Incorporated Firm Has Customer Complaint

May 11, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Booth (Booth), previously associated with Stifel, Nicolaus & Company, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Booth 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 $9,006.05 on April 16, 2020.

Client’s authorized agent alleges a trade was made without contacting the client or client’s authorized agent. Timeframe 3/24/20 – 3/24/20

Broker Nathaniel Miller in Edward Jones Firm Has Customer Complaint

May 11, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nathaniel Miller (Miller), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Miller 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 $35,000.00 on April 17, 2020.

Claimant alleges that on or about March 19, 2020, he provided an instruction to sell only bond funds in two retirement accounts. He alleges that on March 24, the registered representative incorrectly sold all funds, including equities.

There are Recent Customer Complaints with Broker Carlos Caban in Firm UBS Financial Services INC.

May 11, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Carlos Caban (Caban), previously associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Caban 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 $40,000.00 on April 14, 2020.

Time frame: 2007-2018\<char_lb_r>\, Claimant’s Counsel allege their investment in a Puerto Rico closed-end fund was unsuitable, over-concentrated, and misrepresented as a safe investment.

Broker Jim Massung in Nylife Securities LLC Firm Has Customer Complaint

May 11, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jim Massung (Massung), currently associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Massung 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 $15,931.03 on April 20, 2020.

The customer alleged that the RR misrepresented the features of a Mainstay investment product and failed to advise the customers that the product featured a daily withdrawal limit.

Broker Jason Shelby in Osaic Wealth, INC. Firm Has Customer Complaint

May 11, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on April 15, 2020.

CLAIMANTS ALLEGE THEIR ACCOUNTS WERE OVERCONCENTRATED IN REIT’s AND ALTERNATIVE INVESTMENTS.

Broker Robert Willauer in LPL Financial LLC Firm Has Customer Complaint

May 11, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on April 18, 2020.

Customers alleged that transactions in their managed accounts were not for their benefit, and sought reimbursement of various account and advisory fees totaling approximately $6,573.42. Activity period – 7/15/11 to 4/18/20.