Reg BI

There are Recent Customer Complaints with Broker Shawn Jiles in Firm Metric Financial, LLC

November 13, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on July 11, 2022.

The client alleges unauthorized trading in his account from June 2016 through May 2022.

Broker Sean Ben Asher in Wells Fargo Clearing Services, LLC Firm Has Customer Complaint

November 13, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sean Ben Asher (Ben Asher), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Ben Asher 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 $10,484.00 on July 03, 2022.

Client complained that the financial advisor represented that he could borrow against his account; however he was required to liquidate positions and incurred taxes on capital gains. He sought a refund of commissions. (4/13/2022-7/3/2022)

Broker Linda Ventura in Osaic Wealth, INC. Firm Has Customer Complaint

November 13, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Linda Ventura (Ventura), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Ventura 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 July 07, 2022.

The claimant alleges unsuitability, common law fraud, breach of contract, negligent supervision and breach of fiduciary duty involving the purchase of First Capital REIT.

Broker Michael Ivey in LPL Financial LLC Firm Has Customer Complaint

November 13, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on July 08, 2022.

Claimant alleges the RR recommended an unsuitable Oil & Gas investment.

Broker Steven Hayden in Cetera Advisors LLC Firm Has Customer Complaint

November 13, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven Hayden (Hayden), previously associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hayden 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 $346,000.00 on July 11, 2022.

Claimants allege that they were recommended to invest in unsuitable alternative investments.

There are Recent Customer Complaints with Broker Nicholas Giallourakis in Firm Newbridge Securities Corporation

November 13, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on July 05, 2022.

Suitability, Breach of Fiduciary Duty, Failure to Supervise, Breach of Contract, Fraud and Violation of FINRA Rule 2210.

Broker Jennifer Marcontell in Ameriprise Financial Services, LLC Firm Has Customer Complaint

November 13, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jennifer Marcontell (Marcontell), currently associated with Ameriprise Financial Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Marcontell 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 July 06, 2022.

The client alleges the financial advisor recommended a Net Unrealized Appreciation (NUA) strategy which was not properly executed and resulted in a higher than anticipated tax liability.

There are Recent Customer Complaints with Broker Matthew Schroeder in Firm Lincoln Financial Securities Corporation

November 13, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on July 08, 2022.

Claimant alleges the RR recommended an unsuitable Oil & Gas investment.

Broker Shawn Johnson in Edward Jones Firm Has Customer Complaint

November 13, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Shawn 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 $15,000.00 on July 01, 2022.

Client alleged she was misled when opening account and purchasing mutual funds.

Broker David Ward in LPL Financial LLC Firm Has Customer Complaint

November 13, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on July 08, 2022.

Claimant alleges the RR recommended an unsuitable Oil & Gas investment.