Vanguard Marketing Corporation Tag Archives

There are Recent Customer Complaints with Broker Kevin Welp in Firm Vanguard Marketing Corporation

January 6, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Welp (Welp), previously associated with Vanguard Marketing Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Welp recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on October 30, 2025.

CLIENT ALLEGES THAT THE ADVISOR FAILED TO PERMIT ALLOCATION OF 100% EQUITIES IN THE CLIENT\\u2019S MANAGED ACCOUNT IN MARCH 2024, RESULTING IN A SIGNIFICANT LOSS OF POTENTIAL CAPITAL APPRECIATION.

Broker Christopher Peterson in Vanguard Marketing Corporation Firm Has Customer Complaint

December 28, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on January 04, 2022.

Customer alleges vanguard invested all the cash from her roth ira instead of the agreed upon amounts per the invesment plan and as a result of this error stock shares were erroneously sold. The activities occurred between June 6, 2021 through June 23, 2021.

Broker Meryl Geissler in Vanguard Marketing Corporation Firm Has Customer Complaint

December 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Meryl Geissler (Geissler), currently associated with Vanguard Marketing Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Geissler 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 $65,000.00 on September 11, 2025.

Client alleged registered representative provided incorrect form to roll over his retirement plan to a new ira resulting in a loss due to funds not being invested as the client instructed.

There are Recent Customer Complaints with Broker Christopher Peterson in Firm Vanguard Marketing Corporation

December 13, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on January 04, 2022.

Customer alleges vanguard invested all the cash from her roth ira instead of the agreed upon amounts per the invesment plan and as a result of this error stock shares were erroneously sold. The activities occurred between June 6, 2021 through June 23, 2021.

Broker Jeremy Beil in Vanguard Marketing Corporation Firm Has Customer Complaint

December 5, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 08, 2022.

Client alleges advisor rebalanced funds within retail account instead of retirement account which resulted in realized long term gains. The activity occurred on December 14, 2021.

There are Recent Customer Complaints with Broker Jazlynn Torres in Firm Vanguard Marketing Corporation

November 25, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on May 18, 2022.

Client alleges that the Financial Advisor failed to follow their instructions to liquidate their mutual fund position and reallocate the proceeds to a money market fund. The dates when the activities took place are March 22, 2022 thru May 20, 2022.

Broker Gary Martin in Vanguard Marketing Corporation Firm Has Customer Complaint

November 24, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gary Martin (Martin), currently associated with Vanguard Marketing Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Martin 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 $18,000.00 on May 21, 2022.

Client alleges that Advisor did not follow his verbal instructions to immediately replenish his spending fund to $160,000 after a $80,000 withdraw was made, resulting in a larger sale of assets at a price lower than if the sale had occurred as discussed. The activity occurred between April 13, 2022 and July 10, 2022.

Broker Michael Caster in Vanguard Marketing Corporation Firm Has Customer Complaint

November 24, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Caster (Caster), previously associated with Vanguard Marketing Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Caster recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on May 19, 2022.

Client alleges that the Financial Advisor failed to follow her instructions to set aside their cash position to be wired out, and the funds where instead reinvested. The dates when the activities took place are April 19, 2022 thru June 21, 2022.

Broker Gary Martin in Vanguard Marketing Corporation Firm Has Customer Complaint

November 18, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gary Martin (Martin), currently associated with Vanguard Marketing Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Martin 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 $18,000.00 on May 21, 2022.

Client alleges that Advisor did not follow his verbal instructions to immediately replenish his spending fund to $160,000 after a $80,000 withdraw was made, resulting in a larger sale of assets at a price lower than if the sale had occurred as discussed. The activity occurred between April 13, 2022 and July 10, 2022.

There are Recent Customer Complaints with Broker Alan Johnson in Firm Vanguard Marketing Corporation

November 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alan Johnson (Johnson), previously associated with Vanguard Marketing Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Johnson recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on June 01, 2022.

Client alleges that the Advisor did not follow her written instructions to have incoming funds remain liquid to use as a down payment on a home and instead reinvested the funds. The activity occurred between November 9, 2021 and June 1, 2022.