Reg BI

Broker Benjamin Blake in Edward Jones Firm Has Customer Complaint

May 10, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Benjamin Blake (Blake), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Blake 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 $3,356.59 on April 21, 2020.

The client alleges the financial advisor placed unauthorized trades.

There are Recent Customer Complaints with Broker Jared Stines in Firm Cetera Investment Services LLC

May 10, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jared Stines (Stines), previously associated with Cetera Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Stines 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 $53,204.00 on April 24, 2020.

On March 10th, 2020 [REDACTED] decided to engage us to assist in managing her retirement funds. After completing the advisory agreement and IRA account paperwork, [REDACTED] wanted to look at her 401k online. She logged in to check values and then [REDACTED] asked if the funds could be moved into a safe or cash account within the 401k. I showed them the stable value option within their 401k. They agreed that they would like to transfer to the stable value fund. I selected the balance transfer option and then selected 100% of the account to the stable value fund. Two days later we found out that only one fund holding had been transferred to stable value. The account had been invested very aggressively by [REDACTED] and had decreased in value since our last meeting. After finding this out, I encouraged them to stay invested and to avoid moving to cash on a volatile day. They did not listen to my advice and they decided to go ahead and liquidate as they were afraid of the market volatility and asked for $53,204 to be refunded to their account to cover their market loss.

Broker Marc Ridell in Morgan Stanley Firm Has Customer Complaint

May 10, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint on April 23, 2020.

Time frame: Early 2017-Present \<char_lb_r>\, \<char_lb_r>\, Allegations: Claimant’s counsel alleges unsuitability and misrepresentation with respect to recommendations to invest in and hold an options overlay strategy.

There are Recent Customer Complaints with Broker Gregory Osterland in Firm Hornor, Townsend & Kent, LLC

May 10, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gregory Osterland (Osterland), currently associated with Hornor, Townsend & Kent, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Osterland 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 $57,672.00 on April 21, 2020.

Client alleges that the purchase of two variable annuities and a life insurance policy were not suitable and in her best interest. The client is requesting a waiver of the surrender charges for both annuities and the return of the total premium paid on the fixed life insurance policy.

There are Recent Customer Complaints with Broker Jed Conradi in Firm Edward Jones

May 10, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jed Conradi (Conradi), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Conradi 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 $70,000.00 on April 20, 2020.

The client alleges the financial advisor misrepresented that he could get out of investments and be made whole.

There are Recent Customer Complaints with Broker Kwasi Aggor in Firm Td Ameritrade, INC.

May 10, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kwasi Aggor (Aggor), previously associated with Td Ameritrade, INC., has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Aggor 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 $10,000,000.00 on April 22, 2020.

Claimant alleges that RR misrepresented his qualifications and authority, and made unsuitable recommendations and transactions for Claimants’s accounts, in violation of firm policy.

There are Recent Customer Complaints with Broker Jack Cayce in Firm Purshe Kaplan Sterling Investments

May 10, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jack Cayce (Cayce), currently associated with Purshe Kaplan Sterling Investments, has at least one disclosable event. These events include one customer complaint, alleging that Cayce 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 April 21, 2020.

Client claims that investment was unsuitable and Firm did not conduct its proper due diligence prior to selling GPB to its clients.

Broker Stephen Ferencik in Arkadios Capital Firm Has Customer Complaint

May 10, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on April 23, 2020.

Unsuitable product during 2018-2019

Broker Marcus Johnson in Edward Jones Firm Has Customer Complaint

May 10, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Marcus Johnson (Johnson), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Johnson 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 April 23, 2020.

The Claimant, a living trust, alleges that the trustor was not an authorized party on the trust account the trustor opened, and therefore, the trustor was not authorized to give the financial advisor instruction to withdraw $400,000.00 from the account in early 2020.

Broker Arturo Colon in Kovack Securities INC. Firm Has Customer Complaint

May 10, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Arturo Colon (Colon), currently associated with Kovack Securities INC., has at least one disclosable event. These events include one customer complaint, alleging that Colon 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 22, 2020.

Client alleges over-concentration, unsuitability, breach of fiduciary duty, violations of securities laws and rules, breach of contract, negligence, fraud, false inducement to inaction, failure to supervise, breach of duty of good faith and fair dealing (Puerto Rico bonds). Includes request for rescission, punitive damages, interest, costs and fees.