Securities Lawyers Blog

Broker Kevin Albritton in Cambridge Investment Research, INC. Firm Has Customer Complaint

November 15, 2025 | by Staff Attorney

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Kevin Albritton (Albritton), previously associated with Cambridge Investment Research, INC., has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Albritton concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.

FINRA BrokerCheck shows a settled customer complaint on June 21, 2022.

Statement of Claim alleges an investment recommendation was made for the purpose of generating high commissions and fees and that Claimants were deprived of the ability to generate reasonable returns that would have been received in a diversified portfolio.

Broker Jeffrey Scott in Edward Jones Firm Has Customer Complaint

November 14, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on June 27, 2022.

Client alleges FA misrepresented the call date of two corporate bonds and promised/guaranteed the bonds would be called in June 2022 and they were not called.

There are Recent Customer Complaints with Broker Charles Reyes in Firm Charles Schwab & Co., INC.

November 14, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Charles Reyes (Reyes), currently associated with Charles Schwab & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Reyes 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 $11,495.36 on June 26, 2022.

Client alleges poor recommendation/poor advice in August 2021, in connection with his account enrolled in Schwab Private Client.

There are Recent Customer Complaints with Broker Erin Wilmer in Firm Creativeone Securities, LLC

November 14, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on June 27, 2022.

06/27/2022 The client alleged the financial advisor needs to return all the items she gave her and the $1,500.00.\, $1,500 plus additional unspecified damages. Therefore, the firm cannot make a good faith determination that damages are less than $5,000.00.\, 08/08/2022 After completion of the firm’s investigation, client’s claim was resolved in the amount of $1,500.00.

There are Recent Customer Complaints with Broker Valerie Krebs in Firm LPL Financial LLC

November 14, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on June 22, 2022.

Arbitration: Beginning in the summer of 2021, Claimant states her Financial Advisor (FA) placed her in unsuitable investments as compared to her stated financial circumstances, objectives, and risk tolerance.\, \, Complaint: Client complained that the financial advisor assured her the account would grow and that the investments she was placed in were not in accordance of her financial objectives. (9/7/2021-6/22/2022)

There are Recent Customer Complaints with Broker Sean Anderson in Firm Alps Distributors, INC.

November 14, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sean Anderson (Anderson), currently associated with Alps Distributors, INC., has at least one disclosable event. These events include one customer complaint, alleging that Anderson 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 $400,000.00 on June 30, 2022.

Suitability

Broker Mark Kolta in Worden Capital Management LLC Firm Has Customer Complaint

November 14, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Kolta (Kolta), previously associated with Worden Capital Management LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Kolta 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 $1,500,000.00 on June 27, 2022.

Alleges overconcentration and unsuitable investment in American Realty Capital New York City (ARC NYC)

Broker Brent Foster in J.P. Morgan Securities LLC Firm Has Customer Complaint

November 14, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brent Foster (Foster), previously associated with J.P. Morgan Securities LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Foster 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 $700,000.00 on June 28, 2022.

The Statement of Claim alleges breach of fiduciary duty, violations of the Indiana Uniform Securities Act, and negligence. Advisor denies all allegations. Based on the Claimant’s goals and risk tolerance, Advisor had recommended to and discussed with Claimants private fund investments, which they agreed fit their plans. After discussion with the Advisor and after receiving and reviewing the offering documents, Claimants decided to invest in the private fund investments and completed and signed subscription documents for the investments. Advisor conducted extensive due diligence and continuous monitoring of the investments. In March of 2020, a fund in which Claimant was invested suspended valuations and redemptions, and later explained that it was in a dispute with a sub-advisor. The private fund has resolved its dispute with the sub-advisor in a manner that should provide a substantial recovery for investors. Mr. Foster was the Investment Advisor Representative working directly with Claimant [REDACTED].

There are Recent Customer Complaints with Broker Tammy Higgins in Firm RBC Capital Markets, LLC

November 14, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Tammy Higgins (Higgins), previously associated with RBC Capital Markets, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Higgins 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 $29,814.00 on June 27, 2022.

The client alleged bonds purchased in the client’s accounts in January 2022 were done so without her authorization.

There are Recent Customer Complaints with Broker James Van Meter in Firm Realta Equities, INC.

November 14, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Van Meter (Van Meter), currently associated with Realta Equities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Van Meter 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 $349,482.90 on June 29, 2022.

Client alleges that the representative recommended unsuitable investments beginning in 2020.