Investors potentially experienced sales practice violations because of securities broker Michael Castillo Campos [CRD: 5516057, Lexington, South Carolina], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Campos works with D.A. Davidson & Co. in Lexington, South Carolina, having joined the firm on October 24, 2022. Previously, Campos worked at Truist Advisory Services Inc. and Truist Investment Services Inc. from February 17, 2021, until October 24, 2022. See the following information to find out more the disclosures concerning Campos.
Evidently, a client of Truist Investment Services contested Michael Campos’s sales practices, according to a complaint. Allegedly, Campos made unsuitable recommendations. Allegedly, Campos caused the client to sustain damages on stocks. As a result, Truist Investment Services opted to settle the matter on December 23, 2024, by compensating the client in the amount of $20,929.53.
An unsuitable recommendations in stocks generally occurs when a securities broker or financial advisor suggests investments that do not align with the client's financial goals, risk tolerance, or investment profile. These recommendations may lead clients to suffer financial harm if the suggested investments are overly risky, inappropriate for the investor’s situation, or inconsistent with their objectives. FINRA rules require that brokers only recommend investments that are suitable for the investor’s particular circumstances.
Are you concerned regarding investments you made with Michael Campos? If so, you should contact Soreide Law Group online or at (888) 760-6552 and consult with a securities attorney concerning a possible recovery of your investment losses. Soreide Law Group has recovered losses for clients throughout the US. Also, the firm works on a contingency fee basis and advances all costs. Campos and the firms Campos worked for deny allegations of sales practice violations.
Cowen and Company, LLC (CRD 7616), now part of TD Securities (USA) LLC, is a brokerage firm based in New York, New York. FINRA censured and fined the firm a total of $80,000, of which $40,000 is payable to FINRA, according to an AWC issued August 19, 2026.
Webull Financial LLC (CRD 289063) is a brokerage firm based in New York, New York. FINRA censured and fined the firm $115,000 after finding it maintained inaccurate books and records of options order origin codes, according to an AWC issued August 17, 2026.
Marc Miller (CRD 1133692) is a registered representative with Western International Securities. According to BrokerCheck, a customer filed a claim against him on March 3, 2025 that remains pending.
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