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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Reimann (Reimann), currently associated with UBS Financial Services Inc., has at least one disclosable event. These events include one customer complaint, alleging that Reimann 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 $1,000,000.00 on December 27, 2024.

Time frame: 2022-2023\, Claimant, through counsel, alleges breach of fiduciary duties by negligently accepted a power of attorney and corresponding instructions from Claimant’s daughter resulting in the purportedly improper withdrawal of significant funds from Claimant’s accounts. Claimant further alleges that the characteristics of ‘clients’ portfolio changed, including considerably more transactions larger in size, indicating a change of strategy from the previous two decades, and not in the best interest of the client.

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Devon Gluck (Gluck), currently associated with Osaic Wealth, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Gluck 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 $97,000.00 on December 30, 2024.

Claimant alleges their RR recommended an unsuitable Oil and Gas investment and an unsuitable REIT.

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gregory Vickers (Vickers), currently associated with Edward Jones, has at least one disclosable event. These events include one tax lien, alleging that Vickers recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on December 30, 2024.

Failed to register as an investment adviser representative in North Carolina from on or about November 2018 through on or about March 2024, in violation of N.C.G.S. \\u00a778C-16(al).

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Countiss (Countiss), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Countiss 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 $35,000.00 on December 31, 2024.

The client’s attorney alleges their advisor assured them that moving funds from a qualified account would result in ‘minor’ tax implications. Further, attorney alleges the advisor improperly handled the distributions which resulted in excess tax and loss of earnings.

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kennedy Sherles (Sherles), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Sherles 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 $11,371.59 on December 31, 2024.

Customer alleges unauthorized trading. Activity dates 12/9/24 – 12/9/24.

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Furniss (Furniss), currently associated with LPL Financial LLC, has at least 4 disclosable events. These events include 4 customer complaints, alleging that Furniss 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 $100,000.00 on December 30, 2024.

Claimants allege the RR recommended an unsuitable Oil & Gas investment

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Lagrange (Lagrange), currently associated with Moloney Securities Co., Inc., has at least 3 disclosable events. These events include 2 customer complaints, one tax lien, alleging that Lagrange 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 $72,000.00 on December 31, 2024.

Suitability/negligence. 2020

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Starke (Starke), previously associated with Centaurus Financial, Inc., has at least 13 disclosable events. These events include 13 customer complaints, alleging that Starke 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 $400,000.00 on December 30, 2024.

The customers allege from 2015 through December 2023, the Registered Representative recommended and misrepresented unsuitable, speculative, high-risk investments.

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Worth (Worth), currently associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Worth 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 $100,000.00 on December 29, 2024.

Customer alleges the RR misrepresented the policy fees for VA sold in 2022.

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven Susoeff (Susoeff), previously associated with LPL Financial Corporation, has at least one disclosable event. These events include one tax lien, alleging that Susoeff recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on December 30, 2024.

The Securities and Exchange Commission (‘Commission’) deems it appropriate and in the public interest that public administrative proceedings be, and hereby are, instituted against Steven J. Susoeff (‘Susoeff’ or ‘Respondent’). Respondent has submitted an Offer of Settlement (the ‘Offer’) which the Commission has determined to accept. The Commission finds that on December 23, 2024, a final judgment was entered by consent against Susoeff, permanently enjoining him from future violations of Sections 17(a) of the Securities Act of 1933 (‘Securities Act’), Section 10(b) of the Securities Exchange Act of 1934 (‘Exchange Act’) and Rule 10b-5 thereunder, and Sections 206(1) and 206(2) of the Advisers Act, as set forth in the judgment entered in the civil action entitled Securities and Exchange Commission v. Steven J. Susoeff, et al., Civil Action Number 2:23-cv-00173, in the United States District Court for the District of Nevada. The Commission’s complaint alleged that between January 2021 and July 2021, Susoeff and Steve Susoeff, LLC dba Meritage Financial Group (‘Meritage Financial’) engaged in a fraudulent cherry-picking scheme in breach of their fiduciary duties to their clients. The Commission’s complaint alleged that Susoeff used Meritage Financial’s omnibus trading account to disproportionately allocate a number of favorable trades (i.e., trades that had a positive first day return) to three accounts held by his friend, his girlfriend, and himself (the ‘Favored Accounts’), while disproportionately allocating a number of unfavorable trades (i.e., trades that had negative first day returns) to the accounts his other clients (the ‘Disfavored Accounts’). The Complaint alleged that as a result, for the time period at issue, the Favored Accounts enjoyed first day positive returns, while the Disfavored Accounts suffered negative first day returns.

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