Investors have come forward with complaints about securities broker Todd David Ellis (CRD: 2202633, New York, New York). Evidently, the securities broker, who worked for RBC Capital Markets LLC, discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, RBC Capital Markets LLC clients allege that Ellis made unsuitable recommendations. For more on these disclosures about Ellis, see below.
Supposedly, on March 7, 2022, an RBC Capital Markets LLC client filed a complaint about Todd Ellis. Namely, the client alleged that Ellis gave unsuitable advice. Because of this, the client allegedly sustained damages on structured notes. Therefore, the client requested compensation from RBC Capital Markets LLC or Ellis. However, the securities firm denied this complaint.
Supposedly, on September 10, 2008, a Citigroup Global Markets Inc. client filed a complaint about Todd Ellis. Namely, the client alleged that Ellis made misrepresentations. Because of this, the client allegedly sustained damages on stocks. Therefore, the client requested compensation from Citigroup Global Markets Inc. or Ellis. However, the securities firm denied this complaint.
Also, a client of Morgan Stanley DW Inc. contested Todd Ellis’ sales practices by filing NASD Arbitration: 02-03986. Allegedly, Ellis failed to execute a limit order. It appears that Ellis caused the client to sustain damages. Therefore, NASD Arbitrators issued an Award dated March 24, 2003, compelling Morgan Stanley DW Inc. or Ellis to compensate the client in the amount of $39,600.
Did you sustain damages through Todd Ellis? If so, get in touch with Soreide Law Group at (888) 760-6552 and speak with a securities lawyer about a possible recovery of your losses. Soreide Law Group, who has successfully recovered money for hundreds of investors throughout the United States, represents clients on a contingency fee basis and advances all costs. Ellis and brokerage firms Ellis worked for deny accusations against them.
Pending customer claims on BrokerCheck name Michael Graham (CRD 3263494) and list LPL Financial as the firm. Each claim is pending and unproven, and no arbitrator has ruled on any of them. The customers allege that Graham misrepresented guaranteed principal and returns on a secured loan related to a real estate deal.
An SEC decision involving Titan Securities (CRD 131392) of Plano, Texas became final on August 7, 2026, according to FINRA's October 2026 Disciplinary and Other FINRA Actions report. The decision fined the firm $50,000. The record lists the firm as JTA Securities Management, Inc. dba Titan Securities.
Every settled customer dispute on Peter Maller's BrokerCheck report names Lincoln Financial as the firm. Maller holds CRD number 2322403. The newest dispute, filed on March 5, 2024, settled on August 15, 2024 for $12,500 against alleged damages of $50,000. The claimants alleged that the representative represented an oil and gas investment as safe.
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