Steward Partners Investment Solutions Tag Archives

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

June 4, 2026 | 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 2 disclosable events. These events include one customer complaint, 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 pending customer complaint with a damage request of $697,328.77 on February 27, 2026.

Customers complained that they made an outside investment through the Financial Advisor and would like to be made whole on funds that were not returned. (5/19/2015-1/11/2018)

There are Recent Customer Complaints with Broker Margaret Wiley in Firm Steward Partners Investment Solutions, LLC

May 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Margaret Wiley (Wiley), currently associated with Steward Partners Investment Solutions, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Wiley 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 $7,811.36 on May 28, 2020.

Client alleges advisor misrepresented annuity payout options. Alleged Activity dates: 12/19/19 – 2/01/2020.

There are Recent Customer Complaints with Broker Jonathan Dutton in Firm Steward Partners Investment Solutions, LLC

March 24, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jonathan Dutton (Dutton), currently associated with Steward Partners Investment Solutions, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Dutton 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 $50,000.00 on October 21, 2020.

Claimants allege that they were recommended FSKR, an unsuitable, speculative, and high-risk investment.

There are Recent Customer Complaints with Broker David Carbiener in Firm Steward Partners Investment Solutions, LLC

December 25, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Carbiener (Carbiener), currently associated with Steward Partners Investment Solutions, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Carbiener 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 $7,580.00 on January 29, 2022.

Client alleges the Advisor failed to execute a mutual fund exchange upon request. The Firm found no evidentiary support. While denying the allegations, the Firm decided to settle the matter.

There are Recent Customer Complaints with Broker David Carbiener in Firm Steward Partners Investment Solutions, LLC

December 10, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Carbiener (Carbiener), currently associated with Steward Partners Investment Solutions, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Carbiener 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 $7,580.00 on January 29, 2022.

Client alleges the Advisor failed to execute a mutual fund exchange upon request. The Firm found no evidentiary support. While denying the allegations, the Firm decided to settle the matter.

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.