Securities Lawyers Blog

There are Recent Customer Complaints with Broker William Carlton in Firm Aegis Capital Corp.

June 26, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Carlton (Carlton), currently associated with Aegis Capital Corp., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Carlton 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 $220,000.00 on April 30, 2026.

Time frame: October 2024 to present. Claimant alleges unsuitable investments, breach of fiduciary duty, and negligence.

Broker Andrew Owens in Edward Jones Firm Has Customer Complaint

June 26, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andrew Owens (Owens), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Owens 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 $39,000.00 on May 04, 2026.

Client alleges the FA misrepresented the taxes on the liquidation of a variable annuity and a life insurance policy.

Broker Olivier Marcelin in Tiaa-cref Individual & Institutional Services, LLC Firm Has Customer Complaint

June 25, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Olivier Marcelin (Marcelin), previously associated with Tiaa-cref Individual & Institutional Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Marcelin 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 May 14, 2026.

Client alleges RR made misrepresentations in connection with a VUL policy purchased in 2023.

There are Recent Customer Complaints with Broker Hector Vargas Forero in Firm J.P. Morgan Securities LLC

June 25, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Hector Vargas Forero (Vargas Forero), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Vargas Forero 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 $130,000.00 on May 08, 2026.

Claimant alleges misrepresentation and unsuitable investment recommendation. December 2021 – December 2024.

There are Recent Customer Complaints with Broker Matthew Copley in Firm Copley Alternative Investments INC.

June 25, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Copley (Copley), currently associated with Copley Alternative Investments INC., has at least one disclosable event. These events include one customer complaint, alleging that Copley 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 $760,928.81 on May 08, 2026.

Suitability, violation of Reg. BI, breach of fiduciary duty, negligence/gross negligence, negligent misrepresentations, intentional misrepresentations/omission, breach of contract, equitable rescission,

Broker Brendan Jones in Wells Fargo Clearing Services, LLC Firm Has Customer Complaint

June 25, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brendan Jones (Jones), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Jones 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 $257,780.00 on May 18, 2026.

Claimants allege they opened multiple fee-based advisory accounts seeking reasonable growth while avoiding speculative investments. They further allege the registered representative deviated from these objectives by reallocating assets from core holdings into speculative securities without informed consent and potentially altering risk tolerances.

There are Recent Customer Complaints with Broker John Schiro in Firm Raymond James & Associates, INC.

June 25, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Schiro (Schiro), previously associated with Raymond James & Associates, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Schiro 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 $14,583.84 on May 12, 2026.

Client alleged advisor failed to follow investment instructions. Allegation Activity dates: 2/2/2026 through 2/26/2026.

Broker Paul Lee in Kingswood Capital Partners, LLC Firm Has Customer Complaint

June 25, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Paul Lee (Lee), currently associated with Kingswood Capital Partners, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Lee 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 May 16, 2026.

Unsuitable recommendation.

There are Recent Customer Complaints with Broker Deborah Stackpole in Firm Stonecrest Capital Markets, INC.

June 25, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Deborah Stackpole (Stackpole), currently associated with Stonecrest Capital Markets, INC., has at least one disclosable event. These events include one customer complaint, alleging that Stackpole 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 $840,000.00 on May 13, 2026.

Unsuitable recommendation as an agent of the Firm of four 1031-Delaware Statutory Trust purchases from July 2022-September 2022.

There are Recent Customer Complaints with Broker Brandon Fancher in Firm RBC Capital Markets, LLC

June 25, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brandon Fancher (Fancher), currently associated with RBC Capital Markets, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Fancher 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 May 18, 2026.

The client’s attorney alleged grievances with two premium financed indexed universal life policies.