Vanguard Marketing Corporation

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.

Broker Michael Bristoll in Vanguard Marketing Corporation Firm Has Customer Complaint

November 9, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on August 09, 2022.

The client gave specific instructions to not sell shares of John Marshal Bancorp for investing purposes when establishing managed plan. When plan was funded, John Marshal Bancorp was included in the sell transactions and subsequent shares were sold during systematic rebalancing of account per financial plan. The alleged activity took place between December, 2020 and May, 2022.

Broker Patrick Sizemore in Vanguard Marketing Corporation Firm Has Customer Complaint

October 21, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on January 11, 2023.

Client alleges that the advisor did not follow her instructions to convert her Traditional IRA to her Roth IRA for tax year 2023. The conversion took place in tax year 2022 which caused the client to be placed in a higher tax bracket and resulted in additional IRS tax liabilities. The activity dates leading to the allegation were December 28, 2022, through December 30, 2022.

Broker Craig Doyon in Vanguard Marketing Corporation Firm Has Customer Complaint

August 27, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Craig Doyon (Doyon), currently associated with Vanguard Marketing Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Doyon 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 $250,000.00 on July 11, 2023.

The client alleges that the advisor invested in securities that were not suitable and resulted in substantial losses. The activity dates leading to the allegation was January 1, 2022, through May 24, 2023.

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

August 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Hartwig (Hartwig), previously associated with Vanguard Marketing Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Hartwig 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 $33,960.00 on September 15, 2022.

Client alleges that the advisor did not make her aware that trades placed to replenish her spending fund were made from her Traditional IRA account, resulting in IRS tax liabilities of $33,960.00. The activity dates leading to the allegations were September 25, 2020, and November 13, 2020.

There are Recent Customer Complaints with Broker Steven Trevor in Firm Vanguard Marketing Corporation

August 14, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on June 26, 2025.

The client alleges in April 2021, the representative provided poor advise by recommending the client make multiple trades without knowledge of the cost basis of the shares and the subsequent tax implication. The IRS later informed the client there was a “substantial” tax due because of the trade.

There are Recent Customer Complaints with Broker Justin Proudfoot in Firm Vanguard Marketing Corporation

August 7, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on November 27, 2024.

Client alleges that trades were made on his account without his authorization. Activity occured on November 24, 2024.

There are Recent Customer Complaints with Broker Nicholas Nowakowski in Firm Vanguard Marketing Corporation

August 6, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on April 04, 2025.

The client alleged that he instructed his advisor not to rebalance account with cash from his settlement account needed to repurchase a house. The corrective trades caused a loss. Activity date was April 4, 2025 through April 7, 2025.

Broker Vernell Peter Koyi in Vanguard Marketing Corporation Firm Has Customer Complaint

July 26, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Vernell Peter Koyi (Peter Koyi), currently associated with Vanguard Marketing Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Peter Koyi 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 $360,000.00 on May 08, 2025.

The client alleges that the financial plan offered and implemented by the investment advisor resulted in realized capital gains taxes of over $360,000. The activity occurred in August of 2024.

Broker Mark Heater in Vanguard Marketing Corporation Firm Has Customer Complaint

July 6, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on September 28, 2023.

Client alleges that the advisor invested in bond instruments during a period of rising interest rates resulting in over $25,000.00 in unrealized losses.