Reg BI

Broker Patrick Trammell in Lion Street Financial, LLC Firm Has Customer Complaint

May 8, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on May 06, 2020.

Client alleges the COLI policies issued to them in 2006 and 2008 were misrepresented to them and unsuitable for their needs.

There are Recent Customer Complaints with Broker Camie Quigley in Firm Wells Fargo Clearing Services, LLC

May 8, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on May 07, 2020.

Client complained that the financial advisor did not sell as initially instructed and that she subsequently converted the mutual fund position to cash without first discussing with the client. (11/27/2019-12/2/2019)

Broker Jose Acosta Jordan in Investment Planners, INC. Firm Has Customer Complaint

May 8, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jose Acosta Jordan (Acosta Jordan), currently associated with Investment Planners, INC., has at least one disclosable event. These events include one customer complaint, alleging that Acosta Jordan 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 $250,000.00 on May 05, 2020.

Claimant alleges that Financial Consultant investment recommendations to purchase and to hold P.R. Securities were unsuitable in light of the clients’ risk tolerance. Claimants also allege that recommendations made by the Financial Consultant were particularly egregious in light of Puerto Rico’s well known deteriorating financial condition.

There are Recent Customer Complaints with Broker Robert Berry in Firm LPL Financial LLC

May 8, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Berry (Berry), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Berry 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 $112,000.00 on May 07, 2020.

Client alleges failure to follow instructions related to disbursement and poor service.

There are Recent Customer Complaints with Broker David Fenning in Firm Morgan Stanley

May 8, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Fenning (Fenning), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Fenning 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 $173,000.00 on May 05, 2020.

Time frame: 2014 – 2015 Claimant’s counsel alleges unsuitability and negligence with respect to recommendations and investment of accounts.

Broker Thomas Forbes in Morgan Stanley Firm Has Customer Complaint

May 8, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on May 06, 2020.

Trustee verbally alleged failure to follow instructions with respect to liquidation of shares in trust accounts. – January 2020 to February 2020

Broker Jeffery Hattaway in Aegis Capital Corp. Firm Has Customer Complaint

May 7, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffery Hattaway (Hattaway), currently associated with Aegis Capital Corp., has at least one disclosable event. These events include one customer complaint, alleging that Hattaway 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 $14,000.00 on May 11, 2020.

Client alleges that former FA’s failure to follow instructions led to large tax implication.

There are Recent Customer Complaints with Broker Matthew Burnias in Firm Transamerica Financial Advisors, Inc

May 7, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Burnias (Burnias), previously associated with Transamerica Financial Advisors, Inc, has at least one disclosable event. These events include one customer complaint, alleging that Burnias 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 May 08, 2020.

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Broker Marcus Mcglasson in LPL Financial LLC Firm Has Customer Complaint

May 7, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Marcus Mcglasson (Mcglasson), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mcglasson 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 May 08, 2020.

Claimant alleges losses in connection with his investments in two business development companies. Claimant alleges he was misled about the details of the investments and therefore, incurred damages as result of his purchases. Activity period – 11/2013 to 5/2020.

There are Recent Customer Complaints with Broker Kunal Vyas in Firm Tiaa-cref Individual & Institutional Services, LLC

May 7, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on May 11, 2020.

The client alleges that he was explicitly clear on March 10, 2020 that they wanted all of their investments out of the stock market, the transactions were not completed until March 26, 2020 and due to the delay, experienced lost account value as a result.