Vanguard Marketing Corporation Tag Archives

Broker Adam Montgomery in Vanguard Marketing Corporation Firm Has Customer Complaint

July 28, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Adam Montgomery (Montgomery), currently associated with Vanguard Marketing Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Montgomery 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 $200,000.00 on March 13, 2020.

Client alleges he discussed his need for preservation of capital to build a house in the next 3-4 months but his advisor did not place adequate investment parameters on the account to preserve cash.

There are Recent Customer Complaints with Broker Mark Renzi in Firm Vanguard Marketing Corporation

July 25, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 23, 2020.

Customer alleges that she was told that her account value would never be lower that her initial deposit when she purchased a VA in October 2018.

There are Recent Customer Complaints with Broker Albert Kim in Firm Vanguard Marketing Corporation

July 24, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 25, 2020.

Client alleges shares of stock were sold after client specifically requested they be held until further notice. Activity occurred between March 18, 2020 and March 26, 2020.

Broker Nina Palmer in Vanguard Marketing Corporation Firm Has Customer Complaint

July 21, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nina Palmer (Palmer), currently associated with Vanguard Marketing Corporation, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Palmer recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on April 07, 2020.

Client alleged she specifically told the advisor she needed the distribution from her ira to be for the 2019 tax year but the distribution did not occur until January 2, 2020, which cost her thousands of dollars. The activity occurred between December 19, 2019, through January 2, 2020.

There are Recent Customer Complaints with Broker Gregory Adams in Firm Vanguard Marketing Corporation

July 5, 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 2 disclosable events. These events include 2 customer complaints, 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 Phillip Farmer in Firm Vanguard Marketing Corporation

July 3, 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 2 disclosable events. These events include 2 customer complaints, 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.

Broker Nina Palmer in Vanguard Marketing Corporation Firm Has Customer Complaint

June 23, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on April 07, 2020.

Client alleged she specifically told the advisor she needed the distribution from her ira to be for the 2019 tax year but the distribution did not occur until January 2, 2020, which cost her thousands of dollars. The activity occurred between December 19, 2019, through January 2, 2020.

There are Recent Customer Complaints with Broker Catherine Clark in Firm Vanguard Marketing Corporation

June 19, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Catherine Clark (Clark), currently associated with Vanguard Marketing Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Clark 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, 2025.

Clients allege the advisor failed to adequately disclose or set expectations related to the potential impact of realized capital gains and further alleges that securities were sold from the account without the client’s authorization.

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.