Reg BI

There are Recent Customer Complaints with Broker Spencer Hilligoss in Firm Finalis Securities LLC

June 8, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Spencer Hilligoss (Hilligoss), previously associated with Finalis Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hilligoss 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 December 10, 2025.

Alleged unsuitability

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

June 8, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on December 18, 2025.

Customer alleges failure to follow instructions in December 2025

Broker Andrew Trowbridge in Edward Jones Firm Has Customer Complaint

June 8, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on November 24, 2025.

The client alleges the financial advisor failed to follow instructions and liquidated assets instead of transferring in-kind as requested.

There are Recent Customer Complaints with Broker David Dahill in Firm Realized Financial, INC.

June 8, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Dahill (Dahill), currently associated with Realized Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Dahill 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 November 18, 2025.

Claimant alleges Mr. Dahill was a control person when a RR made recommendations in an Inspired Healthcare Capital DST offering, which were unsuitable, causing losses between $100K – $500K.

Broker Andrew Miles in Green Vista Capital, LLC Firm Has Customer Complaint

June 8, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andrew Miles (Miles), previously associated with Green Vista Capital, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Miles 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 $207,000.00 on December 09, 2025.

Claimants allege failure to make suitability recommendations; misleading information provided by the registered representative; failure to supervise; and breach of contract and damages.

Broker Kevin Chen in PHX Financial, INC. Firm Has Customer Complaint

June 8, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Chen (Chen), currently associated with PHX Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Chen 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 $1,180,000.00 on December 18, 2025.

Deceased Claimants estate alleges that between the period from April 2019 to December 2023 there were violations associated with the SEC’s Regulation Best Interest rules.

Broker John Hutchens in Purshe Kaplan Sterling Investments Firm Has Customer Complaint

June 8, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Hutchens (Hutchens), previously associated with Purshe Kaplan Sterling Investments, has at least one disclosable event. These events include one customer complaint, alleging that Hutchens 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 $95,000.00 on December 16, 2025.

On August 16, 2018, Claimants became clients of Monon Wealth Management, and terminated their relationship on June 28, 2023. On December 16, 2025, Claimants, through their counsel, submitted to Respondents a Demand for Restitution related to an investment recommended by Respondents (GWG Holdings L Bond) and breach of fiduciary duty during their relationship with Monon Wealth Management. A settlement was reached, and an agreement was signed by the Respondents on February 13, 2026 and by the Claimants on February 10, 2026.

Broker Kimson Cao in San Blas Securities LLC Firm Has Customer Complaint

June 8, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kimson Cao (Cao), currently associated with San Blas Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Cao 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 $75,000.00 on May 15, 2024.

Claimants make numerous allegations against financial advisor including referral of now deceased client (‘decedent’) to an estate planning attorney while the decedent was alleged to have diminished capacity. Claimant alleges this was to put the financial advisor and attorney in a position of unfettered control over the decedent’s wealth.

There are Recent Customer Complaints with Broker Robert Johnson in Firm Cibc World Markets Corp.

June 8, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Johnson (Johnson), currently associated with Cibc World Markets Corp., has at least one disclosable event. These events include one customer complaint, alleging that Johnson 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 November 18, 2025.

Claimants allege Mr. Johnson recommended risky products and unknown entity (inspired Healthcare Capital “IHC”) which were unsuitable causing loses between $100,000 to $500,000.

There are Recent Customer Complaints with Broker Jon Arnold in Firm Investacorp, INC.

June 8, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on April 12, 2025.

The client alleges the Investment Advisor Representative made unsuitable, high-risk trades in client account which led to losses.