The Financial Industry Regulatory Authority (FINRA) reports important information relating to securities broker Ronald Franklin Metcalf Jr. (“Ronnie Metcalf”) (CRD#: 1280602, Greenville, South Carolina). Evidently, until June 2021, Metcalf worked for Voya Financial Advisors as a securities broker and financial advisor. Notably, nine investors disputed Metcalf’s sales practices, mainly alleging supervision failures that resulted in unsuitable securities sales.
Notably, a client of Voya Financial Advisors disputed Ronnie Metcalf’s sales practices in April 2021. This FINRA Arbitration Claim alleges that Metcalf failed to supervise representatives. Supposedly, a securities broker under Metcalf’s management sold a real estate security to a client resulting in damages. For this reason, the client asked for $500,000 to resolve this ongoing matter.
Also, appears that a second client of Voya Financial Advisors took aim at Ronnie Metcalf’s supervision. Evidently, in this March 2021 FINRA Arbitration Claim, the client contends that Metcalf inadequately supervised those who sold a real estate security. Because of this, the client asked for $500,000 in this ongoing matter.
Further, in a July 2020 dispute, a client brought a dispute about Ronnie Metcalf’s supervision of securities brokers at Voya Financial Advisors. Namely, the client contends that Metcalf failed in his dusty to supervise the people who sold a variable annuity, real estate security, and unit investment trust to the client. Supposedly, the client should not have invested in REITs, UITs, or other securities, and these unsuitable transactions resulted in damages. Evidently, Voya Financial Advisors paid $3,500,000 to this client to resolve this dispute.
Moreover, in a fourth dispute reported on Ronnie Metcalf's BrokerCheck record, a client of Voya Financial Advisors alleges losses or damages from variable annuities, REITs, and UITs. Supposedly, in this July 2020 matter, Metcalf purportedly deficiently supervised the brokers or financial advisors recommending these products. Evidently, Voya Financial Advisors opted to resolve this matter by paying the client $5,050,000.
Apparently, securities broker Ronnie Metcalf denies allegations of sales practice violations. Have you experienced investment losses by interacting with this broker? If so, reach out to Soreide Law Group at (888) 760-6552 and speak with experienced counsel concerning a possible recovery. Soreide Law Group represents clients on a contingency fee basis and advances all costs. The law firm has recovered substantial compensation for US clients who have experienced losses from their securities brokers and financial advisors.
Steven Graham (CRD 1977736) denies the allegations in a pending customer claim filed on August 11, 2026. The disclosure names Western International Securities as the firm, and the claim involves corporate bonds. No arbitrator has ruled on it. His BrokerCheck report also lists a settled bond dispute and a federal court matter from earlier years.
A claim filed on September 11, 2024 names Thomas Hamlin (CRD 2208505) over a 10% Senior Unsecured Note in iCap Fund III. Every disclosure on his BrokerCheck report involves an iCap private placement and names Somerset Securities as the firm. Each one settled, and a settlement is not an admission of wrongdoing.
Peter Po's most recent settlement came on June 28, 2026, when a corporate bond claim settled for $40,000. Po (CRD 3106974) appears in several settled customer disputes over corporate and high-yield bonds. The disclosures name NI Advisors or California Securities as the firm, and each matter ended in a settlement, not a finding.
Phone:
Fax: 1-954-760-6553
Email: [email protected]