Reg BI

There are Recent Customer Complaints with Broker Andrew Rodgers in Firm Raymond James Financial Services, INC.

July 16, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andrew Rodgers (Rodgers), currently associated with Raymond James Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Rodgers 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 $134,953.00 on July 26, 2023.

Client alleged financial advisor did not exercise fiduciary duty while managing discretionary account.

There are Recent Customer Complaints with Broker Ronnie Cochran in Firm Nylife Securities LLC

July 16, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on July 24, 2023.

Customers allege that variable annuity distributions between 2022 – 2023 to fund the premiums on separate variable annuities created a higher tax liability while also placing the assets under surrender charges. The customers further allege that this did not consider the liquidity needs of the client.

Broker Marc Davis in Purshe Kaplan Sterling Investments Firm Has Customer Complaint

July 16, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Marc Davis (Davis), previously associated with Purshe Kaplan Sterling Investments, has at least one disclosable event. These events include one customer complaint, alleging that Davis 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 $1,306,374.00 on July 26, 2023.

Claimant alleges representative recommended they invest in an unsuitable Tenants-In-Common investment in 2007.

Broker Tim Traycoff in Charles Schwab & Co., INC. Firm Has Customer Complaint

July 16, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on July 26, 2023.

Claimant alleges that beginning in or around February 2016, and throughout the relationship with Schwab, Schwab representatives made misrepresentations and unsuitable investment recommendations relating to municipal bonds, which caused investment losses.

Broker Joel Farnsworth in Wedbush Securities INC. Firm Has Customer Complaint

July 16, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joel Farnsworth (Farnsworth), currently associated with Wedbush Securities INC., has at least one disclosable event. These events include one customer complaint, alleging that Farnsworth 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 $4,200,000.00 on July 21, 2023.

Negligence and Breach of Fiduciary Duty

There are Recent Customer Complaints with Broker Kurt Kechely in Firm Securities America, INC.

July 16, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kurt Kechely (Kechely), previously associated with Securities America, INC., has at least one disclosable event. These events include one customer complaint, alleging that Kechely 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 July 21, 2023.

It is alleged that unsuitable recommendations were made and that the Claimants could not understand the investment risks therein.

Broker Marcia Campbell in Securities America, INC. Firm Has Customer Complaint

July 16, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Marcia Campbell (Campbell), previously associated with Securities America, INC., 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 $50,000.00 on July 21, 2023.

It is alleged that unsuitable recommendations were made and that the Claimants could not understand the investment risks therein.

There are Recent Customer Complaints with Broker Jan Haynes in Firm Integrity Brokerage Services, INC.

July 16, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jan Haynes (Haynes), previously associated with Integrity Brokerage Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Haynes 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 July 24, 2023.

Unsuitable investment

Broker Michael Blueweiss in Arete Wealth Management, LLC Firm Has Customer Complaint

July 16, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Blueweiss (Blueweiss), currently associated with Arete Wealth Management, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Blueweiss 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 $100,000.00 on July 24, 2023.

Client alleges unsuitable investment recommendations in 2021 – 2022.

Broker Timothy Judson in Osaic Wealth, INC. Firm Has Customer Complaint

July 16, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Timothy Judson (Judson), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Judson 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 July 21, 2023.

The claimants allege that recommendations of two products out of many investment recommendations were not in keeping with their investment needs and objectives.