Articles Posted in Reg BI

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Roland Cuellar (Cuellar), currently associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Cuellar 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 $44,739.30 on May 21, 2025.

The complainant, estranged spouse of the registered representative currently involved in divorce proceedings, alleges fraud against the rep for obtaining a check for $44,739.30 in April 2023 as a loan against her whole life insurance policy without her consent.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Scott Schaul (Schaul), currently associated with Pinnacle Investments, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Schaul 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 $40,000.00 on May 08, 2025.

Client alleges Mr. Schaul misrepresented the investment as a very safe fund that moved minimally. Based on this recent performance was not in line with the client’s expectations and as such the client states they have less capital than they initially invested.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Chuck Roberts (Roberts), currently associated with Stifel, Nicolaus & Company, Incorporated, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Roberts 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 $500,000.00 on June 12, 2025.

Claimants allege breach of fiduciary duty, negligence, fraud, breach of contract, violation of sections 10(b) and 20(a) of the Securities Exchange Act and Rule 10b-5, and violation of the Florida Securities and Investor Protection Act.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Earls (Earls), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Earls 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 $10,000.00 on May 12, 2025.

July 2017

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Charles Weldon (Weldon), currently associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Weldon 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 $400,000.00 on May 16, 2025.

Allege representative violated rules and industry standards of conduct resulting in losses

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

FINRA BrokerCheck shows a settled customer complaint on June 21, 2023.

The client alleges the financial advisor failed to follow instructions to invest funds in his IRA account in October 2022.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jason Wetsel (Wetsel), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Wetsel 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 $60,000.00 on June 22, 2023.

Customer alleged unsuitable recommendations (4/16/14-3/29/23)

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

FINRA BrokerCheck shows a settled customer complaint on June 20, 2023.

Complaint alleges unsuitable recommendation

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Parrish (Parrish), previously associated with B. Riley Wealth Management, has at least one disclosable event. These events include one customer complaint, alleging that Parrish 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 $20,000.00 on June 21, 2023.

IAR advised client to liquidate holdings, instead of transferring the holdings in kind, prior to transfer of assets to Firm. Client states that he incurred a long-term capital gains tax liability as a result of the advice provided and subsequent liquidation.

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

FINRA BrokerCheck shows a final customer complaint with a damage request of $100,000.00 on June 20, 2023.

Customers allege that they received improper investment advice resulting in a loss to the value of their variable annuity.

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