Reg BI

Broker Brian Zimmerman in Independent Financial Group, LLC Firm Has Customer Complaint

October 30, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Zimmerman (Zimmerman), currently associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Zimmerman 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 $125,000.00 on September 12, 2025.

Claimant wasn’t explained the risk of such investment therefore, and Claimant has been decimated by the losses sustained by Respondent’s investment recommendations.

There are Recent Customer Complaints with Broker John Shortal in Firm Moloney Securities Co., INC.

October 30, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Shortal (Shortal), currently associated with Moloney Securities Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Shortal 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 $90,000.00 on September 15, 2025.

Suitability/negligence. 2018-2020

There are Recent Customer Complaints with Broker Mark Kemp in Firm Mcnally Financial Services Corporation

October 30, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Kemp (Kemp), currently associated with Mcnally Financial Services Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Kemp 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 September 19, 2025.

Beginning in January 2018, the Respondent is alleged to have concentrated over 60% of the Petitioner’s assets into three alternative investments. The Respondent is further alleged to have made material misrepresentations and omissions regarding the risk and lack of liquidity of the alternative investments, which resulted in the Petitioner sustaining substantial losses.

Broker Jeffrey Bangerter in Concorde Investment Services, LLC Firm Has Customer Complaint

October 30, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Bangerter (Bangerter), currently associated with Concorde Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bangerter 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 $700,000.00 on September 17, 2025.

Claim is alleging breach of fiduciary duty, suitability, breach of written contract, and misrepresentation related to October 2022 investment.

Broker Andrew Zigouras in Concorde Investment Services, LLC Firm Has Customer Complaint

October 30, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on September 19, 2025.

Client is alleging that the agent misrepresented the terms of policy purchased in 2022.

There are Recent Customer Complaints with Broker Tillman Pugh in Firm MML Investors Services, LLC

October 30, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Tillman Pugh (Pugh), currently associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Pugh 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 $11,000.00 on September 17, 2025.

The complainant alleges that the registered representative misrepresented the fixed annuity that was issued on September 26, 2024, which was funded from a variable annuity, never explained there was a seven-year restriction and a 10% maximum on yearly withdrawals. The complainant says accessing the money before seven years would cause her to incur a penalty of $11,000.

There are Recent Customer Complaints with Broker Norman Dix in Firm Wells Fargo Clearing Services, LLC

October 30, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on September 18, 2025.

The client complains that she instructed the Financial Advisor not to sell specific stocks when incepting her portfolio into a managed program; however the stocks were sold and client seeks reversal of the transactions. (5/8/2025-9/18/2025)

Broker Zachary White in Moomoo Financial INC. Firm Has Customer Complaint

October 29, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Zachary White (White), currently associated with Moomoo Financial INC., has at least one disclosable event. These events include one customer complaint, alleging that White 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 September 26, 2025.

Claimant alleges that Respondent and the firm violated the Florida Deceptive Trade Practices Act and breached a verbal agreement by agreeing to transfer the claimant's assets and waive transfer fees, but subsequently refusing to transfer the funds in alleged retaliation for a prior FINRA case. Claimant asserts that the refusal was willful and intentional, without legal justification, and claims resulting stress and loss of a transfer promotion. Claimant seeks $10,000 in damages.

Broker John Clark in LPL Enterprise, LLC Firm Has Customer Complaint

October 29, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Clark (Clark), previously associated with LPL Enterprise, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Clark 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 $25,000.00 on September 22, 2025.

Customer alleges that an investment made in September 2023 was unsuitable for the customer’s investment objectives and risk tolerance.

Broker Joshua Chapin in Emerson Equity LLC Firm Has Customer Complaint

October 29, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joshua Chapin (Chapin), currently associated with Emerson Equity LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Chapin recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on September 24, 2025.

Violation of Federal Securities Laws, Violations of the California Securities Act, Breach of Contract, Common Law Fraud, Breach of Fiduciary Duty, Negligence and Gross Negligence,