Reg BI

Broker Peter Economos in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

May 21, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on March 04, 2026.

Customer alleges Financial advisor failed to follow instructions from April 2020 through March 2026

Broker Jacob Harvey in Realta Equities, INC. Firm Has Customer Complaint

May 21, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on March 03, 2026.

Claimant alleges improper recommendations and other acts and omissions.

There are Recent Customer Complaints with Broker Michael Landis in Firm Wells Fargo Clearing Services, LLC

May 21, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on March 04, 2026.

Claimants allege that in 2025, the FA did not properly advise the Claimants regarding the objectives as they related to their financial goals.

There are Recent Customer Complaints with Broker Matthew Chancey in Firm Realta Equities, INC.

May 21, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on March 03, 2026.

Claimant alleges improper recommendations and other acts and omissions.

Broker David Cohen in Cetera Investment Services LLC Firm Has Customer Complaint

May 21, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Cohen (Cohen), previously associated with Cetera Investment Services LLC, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Cohen recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on March 03, 2026.

Without admitting or denying the findings, Cohen consented to the sanction and to the entry of findings that he refused to appear for on-the-record testimony requested by FINRA in connection with its investigation into whether he converted or misappropriated customer funds.

There are Recent Customer Complaints with Broker Mingqi Li in Firm Arkadios Capital

May 21, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mingqi Li (Li), currently associated with Arkadios Capital, has at least one disclosable event. These events include one customer complaint, alleging that Li 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.

Negligence, misrepresentation and omission of material facts, failure to meet suitability obligations, violations of California's "Blue Sky" law, breach of fiduciary duty, breach of contract

Broker Jill Murphy in Ameriprise Financial Services, LLC Firm Has Customer Complaint

May 21, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jill Murphy (Murphy), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Murphy 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 $5,185.00 on March 02, 2026.

The client alleged that the advisor made a poor recommendation to complete a Roth Conversion in 2025 because it rose their taxable income over the Affordable Care Act Benefit threshold.

Broker Michael Magruder in Raymond James & Associates, INC. Firm Has Customer Complaint

May 21, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Magruder (Magruder), previously associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Magruder 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 $600,000.00 on March 04, 2026.

Client alleges FA borrowed money from client and failed to repay it.

Broker David Houston in PFS Investments INC. Firm Has Customer Complaint

May 21, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Houston (Houston), currently associated with PFS Investments INC., has at least one disclosable event. These events include one customer complaint, alleging that Houston 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 $9,031.21 on March 04, 2026.

Client alleged I failed to disclose CDSC fees when she fully redeemed her mutual fund accounts after being invested only three months with no front-end sales charges.

There are Recent Customer Complaints with Broker Matthew Greene in Firm LPL Financial LLC

May 21, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on March 04, 2026.

Customer alleges that representative failed to adequately disclose risks in connection with an investment recommendation.