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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial advisor Mark Bruscianelli (Bruscianelli), currently associated with B. Riley Wealth Management, has at least ten disclosable events. These events include ten customer complaints alleging that Bruscianelli recommended unsuitable investments in different investment products.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $260,000 on April 22, 2024.

Alleges RR recommended unsuitable investments in client’s retirement accounts.

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial advisor Michael Nielson (Nielson), currently associated with IFP Securities, LLC and Independent Financial Partners, has at least one disclosable events. These events include one customer complaints alleging that Nielson recommended unsuitable investments in different investment products.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $150,000 on August 17, 2023.

Client alleges Mr. Neilson improperly recommended a high risk, high commission illiquid alternative investment, namely, GWG Holdings, Inc. and that Mr. Neilson misrepresented the investment to them and that it was inconsistent with their financial situation and needs, investment objectives and their risk tolerance.

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial advisor Eric Kleiner (Kleiner), currently associated with Morgan Stanley, has at least three disclosable events. These events include three customer complaints alleging that Kleiner recommended unsuitable investments in different investment products.

FINRA BrokerCheck shows a denied customer complaint with a damage request of $300,000 on July 13, 2023.

Client alleged recommendations to invest in Cannibas Securities were unsuitable for someone his age 2021.

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial advisor Derek Su (Su), currently associated with U.S. Capital Wealth Advisors, LLC, has at least one disclosable events. These events include one customer complaints alleging that Su recommended unsuitable investments in different investment products.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $2,200,000 on June 12, 2023.

Claimants had been clients of USCA since 2015. Su began handling their accounts in late 2020. Claimants allege Su failed to properly structure their accounts to meet their retirement goals. Specific allegations include negligence, gross negligence, failure to supervise, and breach of fiduciary duty.

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial advisor Monica Osborne (Osborne), currently associated with Avantax Advisory Services, has at least one disclosable events. These events include one customer complaints alleging that Osborne recommended unsuitable investments in different investment products.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $200,000 on April 16, 2024.

Customer alleged the representative recommended an unsuitable investment.

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial advisor Gilbert Conrad (Conrad), currently associated with Realta Equities, Inc., has at least six disclosable events. These events include six customer complaints alleging that Conrad recommended unsuitable investments in different investment products.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $1,500,000 on May 21, 2024.

The claimant alleges unsuitable investments.

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial advisor Stephen Medina (Medina), currently associated with Merrill Lynch, Pierce, Fenner & Smith Inc., has at least six disclosable events. These events include six customer complaints alleging that Medina recommended unsuitable investments in different investment products.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $782,500 on September 27, 2023. The claim settled for $300,000.

Client alleges misrepresentations and unsuitable investments between February 2022 and December 2022.

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial advisor Gustavo Miramontes (Miramontes), currently associated with Oppenheimer & Co. Inc., has at least fourteen disclosable events. These events include eleven customer complaints alleging that Miramontes recommended unsuitable investments in different investment products.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $151,477 on September 27, 2023.

Claimant asserts claims for breach of fiduciary duty, churning, negligence, negligent misrepresentation, falsifying account documentation, unauthorized trading as well as violations of FINRA rules and state securities laws. 01/2019 – 06/2023

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial advisor Manuel Ramos (Ramos), currently associated with Centaurus Financial, Inc. and Nestyield ETFs, has at least five disclosable events. These events include five customer complaints alleging that Ramos recommended unsuitable investments in different investment products.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $100,000 on December 19, 2023.

The customer alleges that in November 2016, the Registered Representative recommended illiquid investments with declining values and high fees.

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial advisor Patrick Mendenhall (Mendenhall), currently associated with U.S. Capital Wealth Advisors, LLC and USCA Securities LLC, has at least four disclosable events. These events include four customer complaints alleging that Mendenhall recommended unsuitable investments in different investment products.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $5,000,000 on January 12, 2024.

Client is a sophisticated investor with decades of experience recruiting for the financial services industry, experience investing in options, stocks, private placements, and hedge funds, and a thirty-year relationship with Mr. Mendenhall. In connection with the account in question, the client indicated a net worth of over $20 million, an aggressive risk tolerance, and a primary objective of capital appreciation. The Client complains of losses and missed opportunity related to a specific stock (and options on that stock) in a specific account. The stock was first purchased by the client over eight years ago. The Client maintained other accounts with the firm and overall had gains while at the firm. The client was actively involved in managing the stock and all transactions were discussed with the client.

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