Forrest Jones (CRD#: 4880765), a registered representative and Registered Investment Adviser (RIA) with Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#: 7691) in Conroe, Texas, is currently involved in a pending investor dispute, according to his BrokerCheck record accessed on July 21, 2020. What happened to lead to this dispute? Read on to learn more. …

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Walter Valenzuela (CRD# 2280224), a registered representative with Kestra Investment Services LLC (CRD#: 42046)  and a Registered Investment Adviser (RIA) with Kestra Private Wealth Services LLC (CRD#: 155193) in San Diego, California, is currently involved in more than $1 million worth of investor disputes, according to his BrokerCheck record accessed on July 3, 2020. This…

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Tom Thacker (CRD#: 2041461), a registered representative with Oppenheimer & Co. Inc. (CRD#: 249) in Beachwood, Ohio, is currently involved in an investor dispute over unsuitable investments in which a customer is seeking more than $400,000 in damages, according to his BrokerCheck record accessed on June 22, 2020. How did this complaint against Tom Thacker…

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Geary Mason (CRD#: 1863783), a registered representative with Stifel, Nicolaus & Company, Incorporated (CRD#: 793) in New Orleans, Louisiana, is currently involved in an investor dispute over unsuitable investments, according to his BrokerCheck record accessed on June 23, 2020. What happened to lead to this complaint against Geary Mason? Read on to learn more.  On…

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Thomas Kieffer (CRD#: 269086), a registered representative with Ceros Financial Services, Inc. (CRD#: 37869) in Chesterfield, Missouri, is currently involved in a customer dispute in which a client is seeking $1 million in damages, according to Thomas Kieffer’s BrokerCheck record accessed on June 16, 2020. What happened to lead to this $1 million complaint against…

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Keith Simmons (CRD#: 730619), a registered representative with Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#: 7691) in Miami, Florida, is currently involved in an $8 million customer dispute, according to his BrokerCheck record accessed on June 17, 2020.  What happened to lead to this $8 million customer dispute? Read on to learn more. On…

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Dennis Haywood (CRD#: 5850275), a registered representative with Crown Capital Securities, L.P. (CRD#: 6312) in Land O’ Lakes, Florida, is currently involved in three pending customer disputes over unsuitable investment recommendations, according to his BrokerCheck record accessed on May 27, 2020. The investments at issue are variable annuities, Real Estate Investment Trusts, and Business Development…

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