Steward Partners Investment Solutions Tag Archives

Broker Joshua Jaffe in Steward Partners Investment Solutions, LLC Firm Has Customer Complaint

October 29, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joshua Jaffe (Jaffe), currently associated with Steward Partners Investment Solutions, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Jaffe 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 $202,330.00 on September 22, 2025.

The client alleged that the advisor made an unsuitable recommendation early in 2021 to establish a variable-rate securities backed line of credit attached to their Strategic Portfolio Services Advantage account.

Broker Keith Morris in Steward Partners Investment Solutions, LLC Firm Has Customer Complaint

October 18, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Keith Morris (Morris), currently associated with Steward Partners Investment Solutions, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Morris 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 $27,069.22 on April 21, 2023.

Client alleged a benefit rider was misapplied to the annuity.

Broker Thomas Daniels in Steward Partners Investment Solutions, LLC Firm Has Customer Complaint

August 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Daniels (Daniels), previously associated with Steward Partners Investment Solutions, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Daniels 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 $5,000.00 on June 10, 2025.

Client alleges poor account performance.

Broker Jeremy Raffer in Steward Partners Investment Solutions, LLC Firm Has Customer Complaint

June 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeremy Raffer (Raffer), currently associated with Steward Partners Investment Solutions, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Raffer 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 $30,000.00 on February 12, 2024.

Client alleged damages resulting from the liquidation of a portfolio.

Broker Andrew Egber in Steward Partners Investment Solutions, LLC Firm Has Customer Complaint

May 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andrew Egber (Egber), previously associated with Steward Partners Investment Solutions, LLC, has at least 3 disclosable events. These events include 2 customer complaints, one regulatory event, alleging that Egber recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on April 26, 2024.

Without admitting or denying the findings, Egber consented to the sanction and to the entry of findings that he refused to produce information and documents requested by FINRA in connection with its investigation of allegations made on an amended Form U5 filed by his member firm. The findings stated that the firm was reviewing allegations of possible theft of client funds by Egber. The findings also stated that Egber refused to appear for on-the-record testimony requested by FINRA.

Broker Stephen Nitz in Steward Partners Investment Solutions, LLC Firm Has Customer Complaint

May 2, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stephen Nitz (Nitz), currently associated with Steward Partners Investment Solutions, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Nitz 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 $19,164.54 on May 21, 2024.

According to the former BD, the clients alleged the account did not perform well and fees were excessive.

There are Recent Customer Complaints with Broker Dehaven Becker in Firm Steward Partners Investment Solutions, LLC

March 31, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dehaven Becker (Becker), currently associated with Steward Partners Investment Solutions, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Becker 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 $34,784.29 on November 21, 2024.

The client alleged details of annuity were not disclosed.

Broker Keith Morgan in Steward Partners Investment Solutions, LLC Firm Has Customer Complaint

March 30, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Keith Morgan (Morgan), currently associated with Steward Partners Investment Solutions, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Morgan 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 $274,000.00 on January 15, 2025.

Time frame: September 2010 to 2023\, Allegations: Claimant’s counsel alleges UBS failed to do adequate due diligence on a fund of funds, which counsel alleges was unsuitable for any investor, and as a result all relevant risks were not disclosed to investors.

There are Recent Customer Complaints with Broker Colton Jacob in Firm Steward Partners Investment Solutions, LLC

March 9, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Colton Jacob (Jacob), previously associated with Steward Partners Investment Solutions, LLC, has at least 2 disclosable events. These events include 2 regulatory, alleging that Jacob recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on October 21, 2024.

Without admitting or denying the findings, Jacob consented to the sanctions and to the entry of findings that he participated in an OBA without providing prior written notice or receiving prior approval from his member firms. The findings state that Jacob assisted with fundraising and strategic planning for two related companies. Among other things, Jacob either contacted or met with multiple individuals, including at least one customer of his firm, to provide information about the companies and their business. For his OBA, Jacob communicated using an email address provided by the companies’ founder, which included a signature block identifying Jacob as an executive affiliated with one of the companies, in addition to using a personal email address. In anticipation of receiving compensation for his OBA, Jacob discussed an equity stake in one of the companies and agreed to be enrolled in payroll software.

Broker Vincent Fuchs in Steward Partners Investment Solutions, LLC Firm Has Customer Complaint

March 9, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Vincent Fuchs (Fuchs), previously associated with Steward Partners Investment Solutions, LLC, has at least 2 disclosable events. These events include 2 regulatory, alleging that Fuchs recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on October 21, 2024.

Without admitting or denying the findings, Fuchs consented to the sanctions and to the entry of findings that he participated in an OBA without providing prior written notice or receiving prior approval from his member firms. The findings state that Fuchs assisted with fundraising and strategic planning for two related companies. Among other things, Fuchs either contacted or met with multiple individuals, including at least one customer of his firm, to provide information about the companies and their business. For his OBA, Fuchs communicated using an email address provided by the companies’ founder, which included a signature block identifying Fuchs as an executive affiliated with one of the companies, in addition to using a personal email address. In anticipation of receiving compensation for his OBA, Fuchs discussed an equity stake in one of the companies and agreed to be enrolled in payroll software.