Reg BI

Broker Richard George in Bankers Life Securities, INC. Firm Has Customer Complaint

February 23, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard George (George), currently associated with Bankers Life Securities, INC., has at least 8 disclosable events. These events include 8 customer complaints, alleging that George recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on April 06, 2021.

Client alleged unsuitability with respect to investment in advisory- 01/02/2018 to 07/20/2019.

Broker Matthew Martinez in MML Investors Services, LLC Firm Has Customer Complaint

February 23, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Martinez (Martinez), currently associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Martinez 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 $200,000.00 on April 05, 2021.

Customers allege that representative failed to make suitable recommendations by recommending REITS on 4/29/2015.

Broker Joseph Petty in Benjamin F. Edwards & Company, INC. Firm Has Customer Complaint

February 23, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Petty (Petty), currently associated with Benjamin F. Edwards & Company, INC., has at least one disclosable event. These events include one customer complaint, alleging that Petty 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 $12,000.00 on April 06, 2021.

Client alleges a failure to follow instructions to liquidate quarterly interval fund on December 31, 2020, and that the subsequent liquidation of the fund on March 31, 2021 resulted in a loss to her of over $12,000.

Broker John Taylor in B. Riley Wealth Management Firm Has Customer Complaint

February 23, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Taylor (Taylor), previously associated with B. Riley Wealth Management, has at least one disclosable event. These events include one customer complaint, alleging that Taylor 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 $127,572.71 on April 05, 2021.

Alleges unsuitable investment recommendations in violation of FINRA Rules 2111 and 2090 and failure to supervise under FINRA Rule 3110 for transactions that took place in 2016 to mid-2017.

There are Recent Customer Complaints with Broker Eric Nilson in Firm Wells Fargo Clearing Services, LLC

February 23, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on April 05, 2021.

Client’s representative complained that the fee based program client was invested in was unsuitable for client’s objectives, that the management fee was inappropriate, and that short term gains caused unnecessary tax implications. (8/31/2006-7/10/2017)

Broker Valente Orozco Villasenor in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

February 22, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Valente Orozco Villasenor (Orozco Villasenor), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Orozco Villasenor 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 $11,279.00 on April 11, 2021.

The customer alleges misrepresentations.

Broker Justin Ennis in Edward Jones Firm Has Customer Complaint

February 22, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Justin Ennis (Ennis), previously associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Ennis 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 $7,664.89 on April 11, 2021.

Client alleges financial advisor made unauthorized trades that caused short term capital gains tax implications.

There are Recent Customer Complaints with Broker Jeremy Presley in Firm Alexander Capital, L.p.

February 22, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on April 12, 2021.

In January and February of 2016 the customers allege that the Registered Representative recommended unsuitable investments and over concentrated their positions

There are Recent Customer Complaints with Broker Faith Much in Firm Edward Jones

February 22, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Faith Much (Much), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Much 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 $12,351.00 on April 13, 2021.

The clients allege the financial advisor recommended they sell shares of EKJAX to avoid a take advantage of a loss; however, because the investment purchased with the proceeds was similar to the investment sold, the tax loss was disallowed which resulted in a significant tax liability to the client.

Broker Michael Hagan in E*trade Securities LLC Firm Has Customer Complaint

February 22, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on April 12, 2021.

In 2014, the customers allege that the Registered Representative, while at a prior broker/dealer, recommended unsuitable investments.