Securities Lawyers Blog

There are Recent Customer Complaints with Broker Tillman Pugh in Firm MML Investors Services, LLC

October 30, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Tillman Pugh (Pugh), currently associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Pugh 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 $11,000.00 on September 17, 2025.

The complainant alleges that the registered representative misrepresented the fixed annuity that was issued on September 26, 2024, which was funded from a variable annuity, never explained there was a seven-year restriction and a 10% maximum on yearly withdrawals. The complainant says accessing the money before seven years would cause her to incur a penalty of $11,000.

There are Recent Customer Complaints with Broker Norman Dix in Firm Wells Fargo Clearing Services, LLC

October 30, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on September 18, 2025.

The client complains that she instructed the Financial Advisor not to sell specific stocks when incepting her portfolio into a managed program; however the stocks were sold and client seeks reversal of the transactions. (5/8/2025-9/18/2025)

Broker Zachary White in Moomoo Financial INC. Firm Has Customer Complaint

October 29, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Zachary White (White), currently associated with Moomoo Financial INC., has at least one disclosable event. These events include one customer complaint, alleging that White 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 $10,000.00 on September 26, 2025.

Claimant alleges that Respondent and the firm violated the Florida Deceptive Trade Practices Act and breached a verbal agreement by agreeing to transfer the claimant's assets and waive transfer fees, but subsequently refusing to transfer the funds in alleged retaliation for a prior FINRA case. Claimant asserts that the refusal was willful and intentional, without legal justification, and claims resulting stress and loss of a transfer promotion. Claimant seeks $10,000 in damages.

Broker John Clark in LPL Enterprise, LLC Firm Has Customer Complaint

October 29, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Clark (Clark), previously associated with LPL Enterprise, 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 pending customer complaint with a damage request of $25,000.00 on September 22, 2025.

Customer alleges that an investment made in September 2023 was unsuitable for the customer’s investment objectives and risk tolerance.

Broker Joshua Chapin in Emerson Equity LLC Firm Has Customer Complaint

October 29, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joshua Chapin (Chapin), currently associated with Emerson Equity LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Chapin recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on September 24, 2025.

Violation of Federal Securities Laws, Violations of the California Securities Act, Breach of Contract, Common Law Fraud, Breach of Fiduciary Duty, Negligence and Gross Negligence,

Broker Jeremiah Vickery in LPL Financial LLC Firm Has Customer Complaint

October 29, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on September 22, 2025.

In or around 2014, the complainant alleges that she was advised to cash out two inherited 401k plans early, which caused her to incur penalties, in order to purchase a life insurance policy whose value is now depleted.

Broker Joshua Jaffe in Steward Partners Investment Solutions, LLC Firm Has Customer Complaint

October 29, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joshua Jaffe (Jaffe), currently associated with Steward Partners Investment Solutions, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Jaffe 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 $202,330.00 on September 22, 2025.

The client alleged that the advisor made an unsuitable recommendation early in 2021 to establish a variable-rate securities backed line of credit attached to their Strategic Portfolio Services Advantage account.

Broker Elizabeth Morrell in Western International Securities, INC. Firm Has Customer Complaint

October 29, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Elizabeth Morrell (Morrell), previously associated with Western International Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Morrell 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 $50,000.00 on September 23, 2025.

Unsuitable recommendation of corporate bonds in 2018.

There are Recent Customer Complaints with Broker Justin Walker in Firm MML Investors Services, LLC

October 29, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on September 22, 2025.

In or around 2014, the complainant alleges that she was advised to cash out two inherited 401k plans early, which caused her to incur penalties, in order to purchase a life insurance policy whose value is now depleted.

There are Recent Customer Complaints with Broker So Young Yom in Firm Nylife Securities LLC

October 29, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on September 22, 2025.

The policyowner alleges that the RR did not fully explain the variable universal life insurance policies sold to her parents in December 2013, and that the ownership of the policies was transferred to her without her knowledge or consent. The policyowner has requested a refund of premiums paid.