Vanguard Marketing Corporation Tag Archives

Broker Matthew Sanders in Vanguard Marketing Corporation Firm Has Customer Complaint

May 17, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 28, 2025.

The client alleged that the advisor sold shares of a security without her approval, which caused a large capital gains tax to be realized. Activity date was December 24, 2024.

Broker David Stecz in Vanguard Marketing Corporation Firm Has Customer Complaint

April 7, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on August 14, 2024.

Clients allege david stecz did not inform them that signing up for personal advisor would initiate transactions, resulting in unintended trades and capital gains.

There are Recent Customer Complaints with Broker Raymond Arroyo in Firm Vanguard Marketing Corporation

March 12, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on October 14, 2024.

CLIENTS ALLEGED THEY WERE NOT INFORMED THAT THEIR SHARES WOULD BE SOLD AT A LOSS, AS WELL AS, THEIR INSTRUCTIONS TO NOT INVEST CERTAIN FUNDS WERE NOT FOLLOWED RESULTING IN A LOSS.

There are Recent Customer Complaints with Broker Jacqueline Fix in Firm Vanguard Marketing Corporation

February 19, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on December 23, 2024.

CLIENT ALLEGES THAT THE DUPLICATE RMD DISTRIBUTION IMPACTED THE TAX ADVANTAGE PROVIDED BY HIS ROTH IRA. THIS ACTIVITY OCCURRED BETWEEN DECEMBER 11, 2024, AND DECEMBER 23, 2024.

Broker Christian Plaza in Vanguard Marketing Corporation Firm Has Customer Complaint

February 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christian Plaza (Plaza), previously associated with Vanguard Marketing Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Plaza 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 $5,321.00 on June 01, 2023.

Client alleges that the registered representative did not follow instructions when processing a Qualified Charitable Donation resulting in a realized capital gain and additional IRS tax liabilities. The activity date leading to the allegation was August 2, 2022.

There are Recent Customer Complaints with Broker John Devenney in Firm Vanguard Marketing Corporation

February 5, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on November 11, 2024.

The client alleged that the representative did not follow his instructions which caused him to lose thousands of dollars. Activity took place between October 31, 2024, and November 11, 2024.