Silver Oak Securities

Broker William Riley in Silver Oak Securities, Incorporated Firm Has Customer Complaint

May 2, 2026 | by Staff Attorney

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.

There are Recent Customer Complaints with Broker Douglas Miller in Firm Silver Oak Securities, Incorporated

March 25, 2026 | by Staff Attorney

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.

Broker Heath Grossman in Silver Oak Securities, Incorporated Firm Has Customer Complaint

March 20, 2026 | by Staff Attorney

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.

Broker Gregory Halstead in Silver Oak Securities, Incorporated Firm Has Customer Complaint

February 11, 2026 | by Staff Attorney

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.

There are Recent Customer Complaints with Broker Carlos Ingram in Firm Silver Oak Securities, Incorporated

December 27, 2025 | by Staff Attorney

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.

There are Recent Customer Complaints with Broker Esmeralda Steele in Firm Silver Oak Securities, Incorporated

December 23, 2025 | by Staff Attorney

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.”

Broker John Steele in Silver Oak Securities, Incorporated Firm Has Customer Complaint

December 23, 2025 | by Staff Attorney

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.”

There are Recent Customer Complaints with Broker Carlos Ingram in Firm Silver Oak Securities, Incorporated

December 11, 2025 | by Staff Attorney

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.

There are Recent Customer Complaints with Broker Christopher Watkins in Firm Silver Oak Securities, Incorporated

November 14, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Watkins (Watkins), previously associated with Silver Oak Securities, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Watkins 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 June 28, 2022.

The customer alleges unsuitable recommendations.

Broker James Davenport in Silver Oak Securities, Incorporated Firm Has Customer Complaint

October 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Davenport (Davenport), previously associated with Silver Oak Securities, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Davenport 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 $24,000.00 on January 20, 2023.

In November 2022, the clients, a married couple, made an oral complaint to the firm concerning the representative and their accounts. Subsequently, in December 2022, one client complained in writing, alleging, with respect to discretionary advisory accounts, that unspecified investments were not suitable for the clients, that stop-loss orders were not used to protect the account from declining in value as the overall market declined, and that the portfolio was over-diversified, among other things.