Reg BI

There are Recent Customer Complaints with Broker Charles Beard in Firm Wells Fargo Clearing Services, LLC

February 14, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on June 03, 2021.

Client, who inherited an annuity, complained that the financial advisor did not advise him of the deadline for processing the transfer of annuity ownership resulting in losses due to the shorter withdrawal timeframe. (6/15/2019-1/28/2021)

Broker Edward Obrien in Nylife Securities LLC Firm Has Customer Complaint

February 14, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Edward Obrien (Obrien), currently associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Obrien 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 $9,500.00 on June 09, 2021.

Customer alleges the Registered Representative did not inform him of the front-end sales charge associated with the A share mutual fund he purchased on or around January 5, 2021.

Broker Ron Purvines in LPL Financial LLC Firm Has Customer Complaint

February 14, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on June 03, 2021.

Claimants allege that their registered representative recommended unsuitable investments.

Broker Jeffrey Diamond in J.P. Morgan Securities LLC Firm Has Customer Complaint

February 14, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Diamond (Diamond), previously associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Diamond 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 $185,549.38 on June 02, 2021.

Claimant, as representative, alleges unsuitable mutual fund recommendations. Activity Dates: 1/12/2018 – 2/8/2018.

There are Recent Customer Complaints with Broker Les Barber in Firm Osaic Wealth, INC.

February 14, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Les Barber (Barber), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Barber 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 $1,000,000.00 on June 10, 2021.

Claimant alleges the representative recommended an investment that was unsuitable.

Broker Laurence Iannarelli in LPL Financial LLC Firm Has Customer Complaint

February 14, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Laurence Iannarelli (Iannarelli), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Iannarelli 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 June 11, 2021.

Claimant alleges the representative recommended alternative investments that were unsuitable.

Broker Mark Gardner in Nylife Securities LLC Firm Has Customer Complaint

February 14, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on June 08, 2021.

Customer alleges that from February 2010 though March 2018, the recommendation to purchase 4 variable annuities was not an appropriate investment strategy. Customer is seeking the waiver of all charges and fees associated with the surrender of the annuities.

Broker Henry Goodman in Herbert J. Sims & Co, INC. Firm Has Customer Complaint

February 14, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Henry Goodman (Goodman), previously associated with Herbert J. Sims & Co, INC., has at least one disclosable event. These events include one customer complaint, alleging that Goodman 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 $543,000.00 on June 04, 2021.

Suitability and unauthorized trading

Broker Theodore Manly in W & s Brokerage Services, INC. Firm Has Customer Complaint

February 13, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Theodore Manly (Manly), currently associated with W & s Brokerage Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Manly 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 $5,032.00 on June 15, 2021.

Customer alleges that he was misled when he was assured that the liquidation of his mutual fund shares to purchase a variable annuity in December 2020 would not create a taxable event. Client seeks reimbursement of accountant fees and taxes paid.

There are Recent Customer Complaints with Broker Alan Morris in Firm Calton & Associates, INC.

February 13, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alan Morris (Morris), previously associated with Calton & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Morris 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 $50,000.00 on June 15, 2021.

The customer alleges that a transaction in an alternative product was a poor recommendation.