Securities Lawyers Blog

Broker Richard Jackman in Arkadios Capital Firm Has Customer Complaint

November 7, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Jackman (Jackman), currently associated with Arkadios Capital, has at least one disclosable event. These events include one customer complaint, alleging that Jackman 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 August 25, 2022.

The customer alleges unsuitable investment strategy, omission of material information, providing false and misleading information, failure to supervise and failure to conduct proper due diligence on investments recommended.

Broker Kevin Reed in Packerland Brokerage Services, INC. Firm Has Customer Complaint

November 7, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Reed (Reed), currently associated with Packerland Brokerage Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Reed 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 $18,000.00 on August 25, 2022.

On or around 6/23/2022, representative allegedly failed to fully disclose the risks associated with the investment, otherwise the customer would have invested only 1/2 the amount. A prospectus and fact sheet were presented to the customer, but the customer asked the representative to take the information back with him.

Broker David Todd in Wells Fargo Clearing Services, LLC Firm Has Customer Complaint

November 7, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on August 30, 2022.

Claimant alleges that beginning in or about November 2020, the FA made unsuitable investments.

There are Recent Customer Complaints with Broker Herbert Marache in Firm Janney Montgomery Scott LLC

November 7, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on August 29, 2022.

Client alleged that the Advisor sold securities in the client’s Trust accounts without authorization. Allegation Time Period: June 16, 2022.

Broker Suzanne Wheeler in Arkadios Capital Firm Has Customer Complaint

November 7, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Suzanne Wheeler (Wheeler), currently associated with Arkadios Capital, has at least one disclosable event. These events include one customer complaint, alleging that Wheeler 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 $500,000.00 on August 29, 2022.

The claimant alleges unsuitable investments.

There are Recent Customer Complaints with Broker George Fellows in Firm Oppenheimer & CO. INC.

November 7, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker George Fellows (Fellows), currently associated with Oppenheimer & CO. INC., has at least one disclosable event. These events include one customer complaint, alleging that Fellows 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 $500,000.00 on September 01, 2022.

The customer alleges that a misrepresentation was made regarding the purchase of a variable annuity in 2007.

There are Recent Customer Complaints with Broker Eugene Ziobron in Firm American Equity Investment Corporation

November 7, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eugene Ziobron (Ziobron), previously associated with American Equity Investment Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Ziobron 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 $70,000.00 on August 29, 2022.

Claimant made the following investments in the GWG L-bond: 50,000 in 2016, 10,000 in 2019 and 10,000 in March of 2020. Claimant alleges investment was unsuitable. On 4/20/22, GWG filed for Chapter 11 bankruptcy re-organization. This re-organization is currently pending.

There are Recent Customer Complaints with Broker James Yancey in Firm Edward Jones

November 6, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on September 07, 2022.

POA alleges FA failed to reallocate assets within variable annuity as instructed, resulting in market loss to the client.

There are Recent Customer Complaints with Broker Todd Bailey in Firm Cambridge Investment Research, INC.

November 6, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Todd Bailey (Bailey), previously associated with Cambridge Investment Research, INC., has at least one disclosable event. These events include one customer complaint, alleging that Bailey 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 $350,000.00 on September 01, 2022.

Client alleges tax implications due to sale of a stock.

There are Recent Customer Complaints with Broker Matthew Franchina in Firm Moloney Securities Co., INC.

November 6, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Franchina (Franchina), currently associated with Moloney Securities Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Franchina 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 $100,000.00 on September 02, 2022.

Suitability/negligence