Securities Lawyers Blog

Broker Robert Jones in Quincy Wells Capital, LLC Firm Has Customer Complaint

May 19, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Jones (Jones), currently associated with Quincy Wells Capital, 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 $475,000.00 on March 09, 2026.

Purchased DST as part of a 1031 tax-deferred exchange. Claimant alleges a lack of suitability and due diligence, breach of contract and fiduciary duty, among other claims. Purchase date of the investment is February 28, 2023.

There are Recent Customer Complaints with Broker Andrew Grezaffi in Firm Purshe Kaplan Sterling Investments

May 19, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on March 10, 2026.

Plaintiff alleges breach of fiduciary duty related to the sale of several parcels of land to another party.

There are Recent Customer Complaints with Broker Edward Stephens in Firm Raymond James Financial Services, INC.

May 19, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Edward Stephens (Stephens), previously associated with Raymond James Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Stephens 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 $120,000.00 on March 10, 2026.

Former RJFS client alleges FA improperly withdrew money from bank account\, related to business venture involving client and FA on which FA had signatory\, authority.

Broker Christopher Miller in Emerson Equity LLC Firm Has Customer Complaint

May 19, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on March 11, 2026.

Breach of contract, violation of securities laws and Regulation Best Interest.

Broker Carrie Cocanour in Kestra Investment Services, LLC Firm Has Customer Complaint

May 19, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Carrie Cocanour (Cocanour), currently associated with Kestra Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Cocanour 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 $26,433.71 on March 11, 2026.

Brokers are required to adhere to the SEC’s Regulation Best Interest (Reg BI) standard of care under the Securities Exchange Act of 1934 which establishes a ‘best interest’ standard for broker-dealers and associated persons. 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. 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.

There are Recent Customer Complaints with Broker Benjamin Sweeney in Firm Morgan Stanley

May 19, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Benjamin Sweeney (Sweeney), currently associated with Morgan Stanley, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Sweeney recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on March 10, 2026.

Client’s attorney alleges, inter alia, that municpal bond strategy implemented in the client’s account was not in their best interests 2024

There are Recent Customer Complaints with Broker John Mason in Firm Truist Investment Services, INC.

May 19, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Mason (Mason), currently associated with Truist Investment Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Mason 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 $56,351.00 on March 10, 2026.

Client alleges poor performance in their accounts from February 2021 to March 2023 and is requesting damages of $56,351.

There are Recent Customer Complaints with Broker Deetra Tesla in Firm Tcfg Wealth Management, LLC

May 19, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on March 11, 2026.

Claimant alleges that, at an unspecified time after September 2022, a former registered representative of the Firm recommended overconcentrated positions in unsuitable Delaware Statutory Trusts (‘DSTs’), which were designed to (and did) provide tax benefits in the form of delayed or avoided capital gains taxes following Claimant’s recent sale of real estate property. As to the registered representative and/or the Firm, Claimant asserts claims for breach of fiduciary duty, negligence, negligent supervision, fraud, breach of contract, violation of the Securities Exchange Act, and violation of the Florida Securities and Investor Protection Act. As to Ms. Tesla, Claimant asserts only a single claim for liability under the Securities Exchange Act, based solely on conclusory allegations of status as a ‘control person’ of the Firm.

Broker Richard Roberts in Tcfg Wealth Management, LLC Firm Has Customer Complaint

May 19, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on March 11, 2026.

Claimant alleges that, at an unspecified time after September 2022, a former registered representative of the Firm recommended overconcentrated positions in unsuitable Delaware Statutory Trusts (‘DSTs’), which were designed to (and did) provide tax benefits in the form of delayed or avoided capital gains taxes following Claimant’s recent sale of real estate property. As to the registered representative and/or the Firm, Claimant asserts claims for breach of fiduciary duty, negligence, negligent supervision, fraud, breach of contract, violation of the Securities Exchange Act, and violation of the Florida Securities and Investor Protection Act. As to Mr. Roberts, Claimant asserts only a single claim for liability under the Securities Exchange Act, based solely on conclusory allegations of status as a ‘control person’ of the Firm.

Broker Timothy Marshall in Quincy Wells Capital, LLC Firm Has Customer Complaint

May 19, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on March 09, 2026.

Purchased DST as part of a 1031 tax-deferred exchange. Claimant alleges a lack of suitability and due diligence, breach of contract and fiduciary duty, among other claims. Purchase dates of investments include May 2, 2022, and May 31, 2022.