Reg BI

Broker Mallory Spence in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

June 3, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mallory Spence (Spence), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Spence 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 $20,276.00 on April 02, 2026.

Client alleges misrepresentation of capital gains resulting in unexpected tax consequences.

There are Recent Customer Complaints with Broker Michael Kupferman in Firm Landolt Securities, INC.

June 3, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Kupferman (Kupferman), currently associated with Landolt Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Kupferman 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 $800,000.00 on March 31, 2026.

Claimant alleges unsuitability, material misrepresentations, concealment, negligence, and breach of fiduciary duty in connection with an investment made in GWG L Bonds at his PRIOR firm.

Broker Steven Goethel in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

June 3, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven Goethel (Goethel), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Goethel recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on April 02, 2026.

Customer alleges misrepresentation and inadequate disclosure relating to alternative investments and claims that trading activity in her managed accounts resulted in unexpected tax consequences.

Broker Andrew Martz in LPL Financial LLC Firm Has Customer Complaint

June 3, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andrew Martz (Martz), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Martz 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 $80,000.00 on March 23, 2026.

Customer alleges violation of Reg BI

Broker William Young in Ameriprise Financial Services, LLC Firm Has Customer Complaint

June 3, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Young (Young), currently associated with Ameriprise Financial Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Young 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 $200,000.00 on March 30, 2026.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $250,000.00 on March 30, 2026.

Broker Daniel Makin in Raymond James Financial Services, INC. Firm Has Customer Complaint

June 3, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Makin (Makin), previously associated with Raymond James Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Makin 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 $5,000.00 on March 31, 2026.

Client alleged they were paying fees for services they were not receiving. Allegation Activity Dates: 12/5/2024 through 11/17/2025. \,

Broker William Grant in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

June 3, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Grant (Grant), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Grant recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on April 02, 2026.

The client alleges that the Financial Advisor failed to act in her best interest and made unsuitable recommendations and misrepresentations related to an options strategy.

Broker Paul Meyer in RBC Capital Markets, LLC Firm Has Customer Complaint

June 3, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Paul Meyer (Meyer), previously associated with RBC Capital Markets, LLC, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Meyer 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 $5,000.00 on April 06, 2026.

The client alleges his account was placed into a call and put strategy without his knowledge or authorization.

Broker Edward Fernandez in Capulent LLC Firm Has Customer Complaint

June 3, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Edward Fernandez (Fernandez), currently associated with Capulent LLC, has at least one disclosable event. These events include one customer complaint, alleging that Fernandez 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 $175,000.00 on April 07, 2026.

Claimants allege that an investment Hayworth Tanglewood DST, sponsored by Versity Investments LLC (aka Crew), were unsuitable and that material risks related to the sponsor, structure, and underlying properties were not adequately disclosed.

There are Recent Customer Complaints with Broker Mark Laflamme in Firm Osaic Wealth, INC.

June 3, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Laflamme (Laflamme), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Laflamme 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 $55,869.00 on March 29, 2026.

Clients alleged their advisor misrepresented the advisory fees for three (3) Select Separate Accounts since account inception in 2018. In addition, the clients alleged that their previous advisor executed trades in 2023 and 2024 which generated capital gains, which the clients informed the advisor that they expressly wanted to avoid.