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According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Vincenzo Trimaldi (Trimaldi), currently associated with Vienna Capital Partners LLC, has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Trimaldi  concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $510,152.82 on September 13, 2023.

Unsuitable investments, churning, failure to supervise, negligence

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Quirk (Quirk), currently associated with Cambridge Investment Research, INC., has at least one disclosable event. These events include one customer complaint, alleging that Quirk recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $500,000.00 on September 22, 2023.

Statement of Claim alleges FP recommended unsuitable non-traded Real Estate Investment Trusts.

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Tyler Camp (Camp), currently associated with Oneamerica Securities, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Camp recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $5,000,000.00 on September 13, 2023.

The complainants allege that their registered representative, beginning in or around, October 2021, opened fee-based accounts and charged a financial planning fee, but never actually met with them to justify the cost. One complainant alleges she lost significant value in her fee-based account.

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Tyler Cardon (Cardon), currently associated with Fidelity Brokerage Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Cardon recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $63,733.00 on September 14, 2023.

Customer alleged that the representative did not explain potential tax implications to invest in a managed account.

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Michael Dandrea (Dandrea), currently associated with Arete Wealth Management, LLC, has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Dandrea  concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $100,000.00 on September 19, 2023.

Claims breach of contract, breach of fiduciary duty, churning, fraud, negligence, unauthorized and unsuitable trading

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Monken (Monken), currently associated with Morgan Stanley, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Monken recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $750,000.00 on September 21, 2023.

Claim alleges, inter alia, that the trading strategy implemented in the client’s account was not in her best interest 2020-2022

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Marco Diflorio (Diflorio), currently associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Diflorio recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on September 19, 2023.

The Customer alleges he was misled regarding surrender charges related to his variable annuity.

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eric Stiba (Stiba), currently associated with Lion Street Financial, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Stiba recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $100,000.00 on September 21, 2023.

Alternative investment, client alleges alternative investment was an inappropriate recommendation.

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Richard Siminou (Siminou), currently associated with Kingswood Capital Partners, LLC, has been subject to at least 3 disclosable events. These events include one customer complaint, 2 regulatory events. Several of those complaints against Siminou  concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.

FINRA BrokerCheck shows a final customer complaint on September 18, 2023.

On or about August 18, 2023, without admitting or denying the findings, Siminou entered into Acceptance, Waiver and consent (‘AWC’) with FINRA wherein Siminou consented to the entry of findings that he engaged in excessive and unsuitable trading in the accounts of two elderly customers. Siminou recommended purchases which resulted in an annualized cost-to-equity ratio requiring investments to grow by more than 29 percent and 34 percent, respectively, just to break even. As a result of Siminou’s unsuitable recommendations, the customers paid $17,021 in commissions and fees. Siminou was suspended for a period of four (4) months and agreed to pay a fine in the amount of $5,000 and to pay restitution of $17,201 plus interest.

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Terrance Meyer (Meyer), currently associated with Northwestern Mutual Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Meyer recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $33,000.00 on September 15, 2023.

Customer alleged two variable life insurance policies were not fully explained and alleged breach of fiduciary duty.

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