Benjamin F. Edwards & Company Tag Archives

Broker Vincent Egan in Benjamin F. Edwards & Company, INC. Firm Has Customer Complaint

April 16, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Vincent Egan (Egan), currently associated with Benjamin F. Edwards & Company, INC., has at least one disclosable event. These events include one customer complaint, alleging that Egan 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 $5,000.00 on January 12, 2021.

On January 12, 2021 client questioned why she was seeing cash in her account and not security ARKK as she gave instructions to purchase the security on December 17, 2020.

There are Recent Customer Complaints with Broker Samuel Annitto in Firm Benjamin F. Edwards & Company, INC.

April 14, 2026 | by Staff Attorney

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Samuel Annitto (Annitto), previously associated with Benjamin F. Edwards & Company, INC., has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Annitto 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 with a damage request of $100,000.00 on January 25, 2021.

Claimant alleges that since 2014, she was sold unsuitable investments with high commissions without explanation of the risks involved and that improper withdrawals by a co-trustee were allowed to go unchecked.

Broker Joseph Petty in Benjamin F. Edwards & Company, INC. Firm Has Customer Complaint

February 23, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Petty (Petty), currently associated with Benjamin F. Edwards & Company, INC., has at least one disclosable event. These events include one customer complaint, alleging that Petty 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 $12,000.00 on April 06, 2021.

Client alleges a failure to follow instructions to liquidate quarterly interval fund on December 31, 2020, and that the subsequent liquidation of the fund on March 31, 2021 resulted in a loss to her of over $12,000.

Broker Scott Gregory in Benjamin F. Edwards & Company, INC. Firm Has Customer Complaint

January 6, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Scott Gregory (Gregory), previously associated with Benjamin F. Edwards & Company, INC., has at least one disclosable event. These events include one customer complaint, alleging that Gregory 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 $42,000.00 on October 15, 2025.

Clients complained about option trades and mutual fund sale made without their consent.

Broker Christopher Larrabee in Benjamin F. Edwards & Company, INC. Firm Has Customer Complaint

October 14, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Larrabee (Larrabee), currently associated with Benjamin F. Edwards & Company, INC., has at least one disclosable event. These events include one customer complaint, alleging that Larrabee 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 $750,000.00 on July 31, 2025.

Claimants allege conspiracy to allow withdrawals from accounts by their late stepmother and her authorized agents to a third party, circumvent family trust, defraud client, and prevent claimants from accessing accounts. (Time frame 2016-2019).

There are Recent Customer Complaints with Broker Ashlee Godfrey in Firm Benjamin F. Edwards & Company, Inc.

March 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ashlee Godfrey (Godfrey), previously associated with Benjamin F. Edwards & Company, Inc., has at least one disclosable event. These events include one tax lien, alleging that Godfrey recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on September 09, 2024.

Without admitting or denying the findings, Godfrey consented to the sanction and to the entry of findings that she refused to provide on-the-record testimony requested by FINRA in connection with its investigation into misstatements she made to a customer of her member firm using an unapproved communication platform. The findings stated that Godfrey misrepresented to the customer that certain preferred securities were insured.

Gana LLP is Investigating Benjamin F. Edwards in connection with the Firm’s Supervision of Aon Miller

October 3, 2014 | by Staff Attorney

Gana Weinstein LLP, a nationally recognized securities arbitration boutique, is investigating Benjamin F. Edwards & Company, Inc. (“BFE”) in connection with the firm’s supervision of its former registered representative Aon D. Miller.

From November 2011 through September 2012, it is alleged that Aon D. Miller, participated in five different securities transactions with three different entities in which four of his customers invested a total of approximately $1,550,000. According to FINRA, who is also investigating Mr. Miller, he failed to inform Benjamin F. Edwards of his outside business activities as he was required to do. Aon Miller allegedly participated in three separate entities outside of his employment with Benjamin F. Edwards. The three entities at issue are: i) CDP, a real estate development company; KBI, a specialty chemical company, and iii) CTL, a company that refinanced senior secured debt.

According to FINRA, the above mentioned transactions resulted in a violation of FINRA Rule 2010 and and selling away, a violation of FINRA Rule 3040. FINRA Rule 2010 states in relevant part that “A member, in the conduct of its business, shall observe high standards of commercial honor and just and equitable principles of trade.” FINRA Rule 3040 states in relevant part that “prior to participating in any private securities transaction, an associated person shall provide written notice to the member with which he is associated describing in detail the proposed transaction and the person’s proposed role therein…”