Reg BI

Broker Andrew Sims in William Blair Firm Has Customer Complaint

November 7, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andrew Sims (Sims), currently associated with William Blair, has at least one disclosable event. These events include one customer complaint, alleging that Sims 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 $68,000,000.00 on September 01, 2022.

January 2021 – March 2022: Investment advisory client alleged that certain false representations were made in connection with investment activity within client advisory accounts, including the opening of such accounts.

There are Recent Customer Complaints with Broker Allen Bahe in Firm Southeast Investments, N.c., INC.

November 7, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on August 24, 2022.

The former client has alledged that there is a discrepency between how much money is in his investment accounts vs how much he was being told was in his accounts.

Broker Jason Alford in Davenport & Company LLC Firm Has Customer Complaint

November 7, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jason Alford (Alford), currently associated with Davenport & Company LLC, has at least one disclosable event. These events include one customer complaint, alleging that Alford 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 $94,355.00 on September 01, 2022.

Client alleges unauthorized use of margin and unauthorized trading in a managed account.

There are Recent Customer Complaints with Broker Todd Dorschel in Firm Merrill Lynch, Pierce, Fenner & Smith Incorporated

November 7, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Todd Dorschel (Dorschel), previously associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Dorschel 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 August 24, 2022.

Claimant alleged that, in or around March 2015, representative sold claimant two unsuitable alternative investment products but did not tell claimant that such products were speculative, illiquid, and non-traded, and that claimant May not be able to get claimant’s money back.

Broker Casey Clayborn in Fbl Marketing Services, LLC Firm Has Customer Complaint

November 7, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Casey Clayborn (Clayborn), previously associated with Fbl Marketing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Clayborn 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 $6,860.49 on August 26, 2022.

Customer’s complaint states that the registered representative did not follow her instructions and execute a sell order of her mutual fund holdings on August 23, 2022, which resulted in loss of market value in her account.

There are Recent Customer Complaints with Broker Edwin Johns in Firm Hazlett, Burt & Watson, INC.

November 7, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Edwin Johns (Johns), previously associated with Hazlett, Burt & Watson, INC., has at least one disclosable event. These events include one customer complaint, alleging that Johns 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 $111,422.00 on August 29, 2022.

On August 29, 2022, Hazlett, Burt & Watson received a complaint from the clients stating that they had been charged WRAP fees in excess of the 0.5% rate stipulated in their Agreement. The clients asserted that they had been overcharged from January 2017 to August 2022. The clients further alleged that Mr. Johns failed to follow instructions that could have mitigated market value losses in June 2022.

Broker Anthony Oliveri in Cetera Wealth Services, LLC Firm Has Customer Complaint

November 7, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Anthony Oliveri (Oliveri), currently associated with Cetera Wealth Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Oliveri 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 August 24, 2022.

Claimant alleged that, in or around March 2015, representative sold claimant two unsuitable alternative investment products but did not tell claimant that such products were speculative, illiquid, and non-traded, and that claimant May not be able to get claimant’s money back.

Broker Maile Foster in Kovack Securities INC. Firm Has Customer Complaint

November 7, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Maile Foster (Foster), currently associated with Kovack Securities INC., has at least one disclosable event. These events include one customer complaint, alleging that Foster 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 $198,000.00 on August 29, 2022.

Claimant alleges that representative recommended unsuitable investments and failed to properly service the accounts resulting in a tax issue and lost opportunity costs.

There are Recent Customer Complaints with Broker Mitchell Riesenberger in Firm UBS Financial Services INC.

November 7, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mitchell Riesenberger (Riesenberger), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Riesenberger 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 $620,000.00 on August 31, 2022.

Time frame: Starting in or about 2015\, \, Allegations: Claimant’s counsel alleges unsuitability and misrepresentation with respect to recommendations to invest in and hold an options overlay strategy.

There are Recent Customer Complaints with Broker Oscar Vallera in Firm Packerland Brokerage Services, INC.

November 7, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Oscar Vallera (Vallera), previously associated with Packerland Brokerage Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Vallera 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 $500,000.00 on August 24, 2022.

Customer claims agent did not explain the policy and that the customer did not know what he signing when policy was sold on 10/15/2021.