Reg BI

There are Recent Customer Complaints with Broker Stephen Horrell in Firm MML Investors Services, LLC

October 27, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on October 01, 2025.

The complainants allege that the registered representative, misrepresented their Variable Universal Life policies, which were issued in/and around July 2000 as stable, long-term investments, without highlighting the volatility and management requirements of the investment component.

There are Recent Customer Complaints with Broker Fariba Madison in Firm Vanderbilt Securities, LLC

October 27, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Fariba Madison (Madison), currently associated with Vanderbilt Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Madison 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 September 26, 2025.

Unsuitable recommendation of corporate bonds between February 2018 and March 2021.

There are Recent Customer Complaints with Broker James Walesa in Firm Arkadios Capital

October 27, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Walesa (Walesa), previously associated with Arkadios Capital, has at least one disclosable event. These events include one customer complaint, alleging that Walesa 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 $80,000.00 on October 07, 2025.

Alleges unsuitable product

There are Recent Customer Complaints with Broker Cole Louviere in Firm Osaic Wealth, INC.

October 24, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Cole Louviere (Louviere), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Louviere 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 16, 2022.

The client alleges he lost $100,000.00 due to the financial advisor failing to follow his instructions to exchange Franklin Funds on 12/12/2022.

There are Recent Customer Complaints with Broker Micheline Yacoub in Firm Nylife Securities LLC

October 24, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on December 14, 2022.

Customers allege the three separate Variable Annuity policies they purchased between March 2022 and April 2022 did not provide any benefit to them as the products contained fees and holding periods that were not explained. The customers further allege that one of the variable policies was explained to them to be a fixed policy.

Broker Aldric Johnson in Nylife Securities LLC Firm Has Customer Complaint

October 24, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Aldric Johnson (Johnson), currently associated with Nylife Securities LLC, 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 settled customer complaint on December 16, 2022.

Customer alleges she was misled when she purchased a recommended Variable Life Insurance policy in October 2021. Customer requests the rescission of the policy.

Broker Jasdeep Cheema in J.P. Morgan Securities LLC Firm Has Customer Complaint

October 24, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jasdeep Cheema (Cheema), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Cheema 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 $31,862.00 on December 14, 2022.

Customer alleges unsuitable recommendation regarding managed account investment. Activity dates 7.8.21 to 7.8.21.

There are Recent Customer Complaints with Broker David Bedford in Firm Fidelity Brokerage Services LLC

October 24, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Bedford (Bedford), currently associated with Fidelity Brokerage Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bedford 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 December 14, 2022.

Customer alleged that the variable annuity was an unsuitable investment for her investment needs.

There are Recent Customer Complaints with Broker Richard Galloway in Firm Edward Jones

October 24, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Galloway (Galloway), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Galloway 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 $28,000.00 on December 16, 2022.

Client alleges FA did not tell them about tax consequences resulting from the sale of a variable annuity.

There are Recent Customer Complaints with Broker Larry Burton in Firm LPL Financial LLC

October 24, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Larry Burton (Burton), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Burton 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 $130,000.00 on December 15, 2022.

Unsuitability; Negligence