Securities Lawyers Blog

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 Wesley Jones in Firm Merrill Lynch, Pierce, Fenner & Smith Incorporated

July 21, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Wesley Jones (Jones), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Jones 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 $8,000.00 on April 07, 2020.

The customer alleges failure to follow instructions on February 4, 2020.

There are Recent Customer Complaints with Broker Erik Teig in Firm Thrivent Investment Management INC.

July 21, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Erik Teig (Teig), currently associated with Thrivent Investment Management INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Teig 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 $52,000.00 on April 03, 2020.

Customer alleged VUL purchased in August 2018 was not issued as requested.

There are Recent Customer Complaints with Broker Angel Barnes in Firm PFS Investments INC.

July 21, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Angel Barnes (Barnes), previously associated with PFS Investments INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Barnes 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 $40,000.00 on April 07, 2020.

Customer alleges that his purchase of mutual funds in 2017 was not suitable

There are Recent Customer Complaints with Broker James Hauser in Firm Edward Jones

July 21, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Hauser (Hauser), previously associated with Edward Jones, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Hauser 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 $25,270.00 on April 06, 2020.

Client alleges the liquidation of her variable annuity in 2019 was not suitable.

There are Recent Customer Complaints with Broker James Barrett in Firm J.P. Morgan Securities LLC

July 21, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Barrett (Barrett), currently associated with J.P. Morgan Securities LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Barrett 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 $19,587.00 on April 06, 2020.

Client alleges misrepresentation regarding variable annuity investment. Activity dates 02/24/2020- 03/27/2020.

There are Recent Customer Complaints with Broker Jeff Kramer in Firm Morgan Stanley

July 21, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeff Kramer (Kramer), currently associated with Morgan Stanley, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Kramer 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 $300,000.00 on April 07, 2020.

Attorney alleged, inter alia, excessive trading with respect to investments in account – January 2018 thru December 2019

There are Recent Customer Complaints with Broker Craig Tomasek in Firm Edward Jones

July 21, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on April 02, 2020.

The client alleges that the Financial Advisor failed to move to cash in their individual account as requested but rather moved them to a bond fund and that he placed trades on 3/12 not 3/9.

There are Recent Customer Complaints with Broker Karen Boykin in Firm LPL Financial LLC

July 21, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a award / judgment customer complaint with a damage request of $500,000.00 on April 02, 2020.

Karen Boykin was a subject of the customers’ complaint against her member firms that asserted the following causes of action: breach of fiduciary duty, violation of Missouri’s Securities Act \\u00a7 409-5.501 et al, common law fraud, breach of contract, negligence/negligent misrepresentation/omission, unjust enrichment, and negligent supervision.

There are Recent Customer Complaints with Broker David Krumrey in Firm Oppenheimer & CO. INC.

July 21, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Krumrey (Krumrey), previously associated with Oppenheimer & CO. INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Krumrey 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 $300,000.00 on April 02, 2020.

Claimants allege claims for breach of fiduciary duty, negligence and breach of contract in connection with the management of their account.From 1/1/2016 – 12/31/2017