Reg BI

Broker Kristin Pennock Jackson in LPL Enterprise, LLC Firm Has Customer Complaint

May 28, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kristin Pennock Jackson (Pennock Jackson), previously associated with LPL Enterprise, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Pennock Jackson 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 $45,000.00 on December 02, 2020.

Customer Alleges the rep did not fully disclose all the facts regarding the replacement of her policy.

There are Recent Customer Complaints with Broker Beau Sheedy in Firm Osaic Wealth, INC.

May 28, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Beau Sheedy (Sheedy), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Sheedy 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 $18,484.18 on November 30, 2020.

Client alleges RR misrepresented an unsuitable variable annuity in 2019.

There are Recent Customer Complaints with Broker Alison Stine in Firm Gwn Securities INC.

May 28, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alison Stine (Stine), currently associated with Gwn Securities INC., has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Stine 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 $18,484.18 on November 30, 2020.

Client alleges RR forged the signature of another RR on account opening documentation, and misrepresented an unsuitable variable annuity sold in 2019.

There are Recent Customer Complaints with Broker William Bass in Firm Park Avenue Securities LLC

May 28, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Bass (Bass), currently associated with Park Avenue Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bass 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 $200,000.00 on December 02, 2020.

Customer alleged the RR provided incorrect information related to a defined benefit plan, which resulted in the plan incurring tax consequences.

There are Recent Customer Complaints with Broker Megan Clark in Firm Madison Avenue Securities, LLC

May 28, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Megan Clark (Clark), currently associated with Madison Avenue Securities, 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 settled customer complaint with a damage request of $23,561.86 on December 01, 2020.

Breach of fiduciary duty, unsuitable recommendations, failure to supervise

Broker Levi Earhart in Vanguard Marketing Corporation Firm Has Customer Complaint

May 28, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on December 08, 2020.

Client alleges the advisor made an unauthorized trade in his taxable account causing him tax consequences. The activity occurred on December 7, 2020.

Broker Matthew Courchesne in Wilmington Capital Securities, LLC Firm Has Customer Complaint

May 28, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on November 30, 2020.

Suitability

Broker George Jameson in LPL Financial LLC Firm Has Customer Complaint

May 28, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker George Jameson (Jameson), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Jameson 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 $100,000.00 on December 03, 2020.

Client alleged that advisor did not implement dollar cost averaging strategy in discretionary account per client’s instruction provided in May 2020

There are Recent Customer Complaints with Broker Neil Zeller in Firm Thrivent Investment Management INC.

May 28, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Neil Zeller (Zeller), currently associated with Thrivent Investment Management INC., has at least one disclosable event. These events include one customer complaint, alleging that Zeller 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 $10,473.00 on December 23, 2020.

Client alleged the recommendation to exchange mutual funds in March 2020 was not in her best interest.

Broker Cory Davern in Valic Financial Advisors, INC. Firm Has Customer Complaint

May 28, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Cory Davern (Davern), currently associated with Valic Financial Advisors, INC., has at least one disclosable event. These events include one customer complaint, alleging that Davern 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 $235,000.00 on December 02, 2020.

Claimants allege registered representative provided unsuitable recommendations and misrepresented the associated risks, leading to inappropriate investments that resulted in lost capital.