Articles Tagged with Silver Oak Securities

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Riley (Riley), previously associated with Silver Oak Securities, Incorporated, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Riley 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 $140,863.40  on June 15, 2020.

Unsuitable investments, demanding payment of $140,863.40 for the loss and attorney’s fees.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Esmeralda Steele (Steele), currently associated with Silver Oak Securities, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Steele 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 $43,637.14  on April 08, 2026.

Allegations related to sale of Index Universal Life Insurance in January 2020. Concerns related to a failure to implement timely and effective monitoring, reassessment, and corrective action in response to prolonged underperformance.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Riley (Riley), previously associated with Silver Oak Securities, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Riley 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 $140,863.40 on June 15, 2020.

Unsuitable investments, demanding payment of $140,863.40 for the loss and attorney’s fees.

Continue Reading

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Douglas Miller (Miller), previously associated with Silver Oak Securities, Incorporated, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Miller 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 $75,000.00 on October 20, 2020.

Customer allegations against Silver Oak Securities include negligence, unsuitable recommendations, negligent supervision and breach of fiduciary duty.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Heath Grossman (Grossman), previously associated with Silver Oak Securities, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Grossman 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 $80,000.00 on November 24, 2020.

Customer allegations against Silver Oak Securities include failure to supervise, suitability rule violations and failure to conduct adequate due diligence.

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

FINRA BrokerCheck shows a settled customer complaint on June 30, 2021.

The client alleges the RR misrepresented the features of a variable insurance policy’s rider sold in 1994.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Carlos Ingram (Ingram), previously associated with Silver Oak Securities, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Ingram 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 $149,828.17 on January 18, 2022.

Unauthorized liquidation of [REDACTED] individual brokerage account in January 2016.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Esmeralda Steele (Steele), currently associated with Silver Oak Securities, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Steele 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 $15,000.00 on March 29, 2022.

Allegations related to sale of Index Universal Life insurance conducted as an Outside Business Activity in March 2017. “Mr. Steele recommended and provided investment advice to Plaintiff to invest his assets in large, unsuitable, and highly complex product as an investment strategy to generate retirement income.”

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Steele (Steele), previously associated with Silver Oak Securities, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Steele 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 $15,000.00 on March 29, 2022.

Allegations related to sale of Index Universal Life insurance conducted as an Outside Business Activity in March 2017. “Mr. Steele recommended and provided investment advice to Plaintiff to invest his assets in large, unsuitable, and highly complex product as an investment strategy to generate retirement income.”

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Carlos Ingram (Ingram), previously associated with Silver Oak Securities, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Ingram 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 $149,828.17 on January 18, 2022.

Unauthorized liquidation of [REDACTED] individual brokerage account in January 2016.

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