Vanguard Marketing Corporation Tag Archives

Broker Levi Earhart in Vanguard Marketing Corporation Firm Has Customer Complaint

May 28, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on December 08, 2020.

Client alleges the advisor made an unauthorized trade in his taxable account causing him tax consequences. The activity occurred on December 7, 2020.

Broker Thomas Wareing in Vanguard Marketing Corporation Firm Has Customer Complaint

May 14, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Wareing (Wareing), previously associated with Vanguard Marketing Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Wareing 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 $5,356.63 on March 30, 2026.

The client alleges that the advisor sold him a fixed index annuity without properly disclosing the tax implications of withdrawing funds from his 401k to purchase the annuity, while he did not have to take an RMD due to still being employed. The annuity was issued on September 16, 2025. The client submitted a formal complaint to the California Department of Insurance and the issuing insurance company, North American Company for Life and Health Insurance.

There are Recent Customer Complaints with Broker Phillip Farmer in Firm Vanguard Marketing Corporation

May 11, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on April 15, 2020.

Client alleges her advisor sold equities she specifically requested him to hold. This activity occurred between March 18, 2020 through May 6, 2020.

There are Recent Customer Complaints with Broker Samuel Choice in Firm Vanguard Marketing Corporation

May 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Samuel Choice (Choice), previously associated with Vanguard Marketing Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Choice 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, 2020.

Client alleges the representative denied him access to make trades on his account. Activity occurred between March 24, 2020, through April 2, 2020.

Broker Gregory Adams in Vanguard Marketing Corporation Firm Has Customer Complaint

April 25, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on August 05, 2020.

Client alleges advisor did not follow through with her request to purchase gold. Activity dates were July 11, 2020 through August 5, 2020.

There are Recent Customer Complaints with Broker Simeon Hill in Firm Vanguard Marketing Corporation

April 3, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Simeon Hill (Hill), currently associated with Vanguard Marketing Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Hill 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 $15,000.00 on February 20, 2026.

Client alleges that $15,000 was withdrawn from her IRA account without her authorization.

There are Recent Customer Complaints with Broker Theodore Anderson in Firm Vanguard Marketing Corporation

March 10, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Theodore Anderson (Anderson), previously associated with Vanguard Marketing Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Anderson 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 $114,000.00 on January 26, 2021.

Client claims that the Advisor kept him in unsuitable investments and strategies which were not appropriate to his investment objectives. The reported time frame for this incident is 01/2018 through 12/31/2020.

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.