Reg BI

Broker Steven Azoury in Corecap Investments, LLC Firm Has Customer Complaint

June 2, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven Azoury (Azoury), currently associated with Corecap Investments, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Azoury 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 $5,000.00 on April 12, 2026.

In the financial industry advisors must meet the requirements of the SEC’s Regulation Best Interest (Reg BI) in providing investment advice and services. Reg BI established a ‘best interest’ standard for brokerage firms and registered representatives. Reg BI applies when brokers recommend a retail investor engage in securities transaction or an investment strategy involving one or more securities. Reg BI also applies to financial advice concerning the transfer of funds and opening of accounts. This standard applies when a registered representative is providing investment advice through making recommendations customers and covers securities transaction, investment strategies, and recommendations concerning advice on opening of an account or accounts.

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

June 1, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Frederick Graves (Graves), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Graves 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 $6,000.00 on April 13, 2026.

Client alleges failure to follow instructions 2/14/2025-4/13/2026

Broker Rhett Grimes in Emerson Equity LLC Firm Has Customer Complaint

June 1, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Rhett Grimes (Grimes), currently associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Grimes 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 $800,000.00 on April 15, 2026.

Suitability and misrepresentation

Broker Christopher Kirkland in Cetera Wealth Services, LLC Firm Has Customer Complaint

June 1, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Kirkland (Kirkland), currently associated with Cetera Wealth Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kirkland 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 $150,000.00 on April 17, 2026.

Customer alleges the investments they purchased were not suitable.

Broker Ben Sutak in Thinkequity LLC Firm Has Customer Complaint

June 1, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ben Sutak (Sutak), currently associated with Thinkequity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Sutak 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 April 17, 2026.

Customer alleges he was solicited to transfer assets to the firm, then was recommended speculative biotech securities. As the positions declined, he alleges firm representatives repeatedly told him to continue holding rather than sell. Claims include unsuitable recommendations, over-concentration, misrepresentations/omissions, negligence, breach of fiduciary duty, breach of contract, and failure to supervise.

Broker Jamie Duval in Morgan Stanley Firm Has Customer Complaint

June 1, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jamie Duval (Duval), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Duval 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 $20,373.00 on April 13, 2026.

Client alleged that he would not have agreed to liqudiate his annuity held in a qualified plan to invest proceeds in a managed account if he had been advised that he would be subject to a 10% early withdrawal penalty 2025

Broker Tara Clark in Osaic Wealth, INC. Firm Has Customer Complaint

June 1, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Tara Clark (Clark), currently associated with Osaic Wealth, INC., 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 pending customer complaint with a damage request of $5,000.00 on April 15, 2026.

Customer alleges financial professional failed to follow instructions to purchase an ETF in 2023.

Broker Milka Micic in J.P. Morgan Securities LLC Firm Has Customer Complaint

June 1, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Milka Micic (Micic), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Micic 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 $10,000,000.00 on April 15, 2026.

Customer alleges failure to follow instructions regarding a managed account. Activity dates 03/2025 – 04/2025.

Broker Neil Butler in Wells Fargo Advisors Financial Network, LLC Firm Has Customer Complaint

June 1, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Neil Butler (Butler), currently associated with Wells Fargo Advisors Financial Network, 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 $31,250.00 on April 13, 2026.

The client complains that the financial advisor made unsuitable recommendations regarding the fee structure of the share classes sold. (1/25/2018-1/14/2026)

There are Recent Customer Complaints with Broker Tracy Helmer in Firm LPL Financial LLC

June 1, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Tracy Helmer (Helmer), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Helmer 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 $13,000.00 on April 16, 2026.

Customer alleges Reg BI violations