Reg BI

Broker Alexander Mclachlin in Independent Investment Bankers, Corp. Firm Has Customer Complaint

June 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alexander Mclachlin (Mclachlin), currently associated with Independent Investment Bankers, Corp., has at least one disclosable event. These events include one customer complaint, alleging that Mclachlin 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 $18,000.00 on March 02, 2026.

Claimant alleges breach of contract and related claims arising from a capital raising engagement agreement dated January 14, 2025, and extension amendment dated May 19, 2025, between Independent Investment Bankers Corp. and Tackle Enterprises, LLC. Claimant alleges inadequate services were performed during the engagement period of January through July 2025 and seeks return of engagement fees paid. Respondent denies all allegations and intends to contest the claims vigorously. No securities product was involved in the engagement.

Broker Benjamin Duckett in Morgan Stanley Firm Has Customer Complaint

June 4, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on March 19, 2026.

Client alleged, inter alia, that covered call option strategy implemented in his account was misrepresented leading to the loss of some of his shares that were called and the chance to participate in the appreciate of the stock

Broker Samuel Duckett in Morgan Stanley Firm Has Customer Complaint

June 4, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on March 19, 2026.

Client alleged, inter alia, that covered call option strategy implemented in his account was misrepresented leading to the loss of some of his shares that were called and the chance to participate in the appreciate of the stock

Broker Ursuline Azul in J.P. Morgan Securities LLC Firm Has Customer Complaint

June 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ursuline Azul (Azul), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Azul 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 $37,915.00 on February 27, 2026.

Customer alleges a mutual fund exchange resulted in an unexpected tax liability. Activity dates 6.6.25 – 6.6.25.

There are Recent Customer Complaints with Broker Austin Bowlin in Firm Aurora Securities

June 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Austin Bowlin (Bowlin), currently associated with Aurora Securities, has at least 4 disclosable events. These events include 4 customer complaints, alleging that Bowlin 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 $1,533,004.26 on February 26, 2026.

Customer alleges unsuitable investment recommendation in real estate security.

Broker Andrew Gentiluomo in Vanderbilt Securities, LLC Firm Has Customer Complaint

June 4, 2026 | by Staff Attorney

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

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

Client seeks reimbursement for the loss on an investment in 2023 she alleges was recommended by the FA. She alleges the FA failed to advise her that her investment could not be used for a Required Minimum Distribution from her IRA, causing tax issues, illiquidity of the investment and a loss upon the failure of the business.

Broker Roderick Uy in LPL Financial LLC Firm Has Customer Complaint

June 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Roderick Uy (Uy), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Uy 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 $750,000.00 on February 26, 2026.

Customers allege misrepresentations regarding unnecessary and improper trades from 2016-2025.

Broker Christopher Dukes in Westpark Capital, INC. Firm Has Customer Complaint

June 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Dukes (Dukes), currently associated with Westpark Capital, INC., has at least one disclosable event. These events include one customer complaint, alleging that Dukes 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 $366,000.00 on February 26, 2026.

Claimants allege that the October 17, 2024 purchase of a Delaware Statutory Trust (DST) real estate investment in connection with a 1031 exchange was unsuitable for their investment objectives and risk tolerance, and that the investment was misrepresented as conservative and low risk. Claimants further allege inadequate due diligence on the investment and its sponsor, material misrepresentations and omissions, failure to disclose risks, breach of fiduciary duty, negligence, and failure to supervise.

Broker Fabio De Andrade in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

June 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Fabio De Andrade (De Andrade), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that De Andrade 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 $24,713,303.00 on February 27, 2026.

Claimant alleges unsuitable investments from 2017 to March 2025.

Broker Jesse Butler in Pruco Securities, LLC. Firm Has Customer Complaint

June 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jesse Butler (Butler), previously associated with Pruco Securities, LLC., has at least one disclosable event. These events include one customer complaint, alleging that Butler 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 $36,867.68 on March 02, 2026.

The customer stated that the representative recommended to liquidate and transfer funds from a fixed annuity to the representative\\u2019s business. The customer believed the funds would be reinvested into another annuity. She indicated that she was not informed of any penalties associated with the transfer. The customer further alleged that a promissory note was later presented to her by the representative and signed approximately three years after the 2020 transfer, but the document was backdated to January 2020.