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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Abtin Bashirazami (Bashirazami), currently associated with Transamerica Financial Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bashirazami 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 $241,666.58 on June 18, 2024.

Claimant alleges representative recommended that claimant liquidate his 529 savings and use an inheritance to fund a IUL policy. Claimant also alleges that represented misrepresented the IUL policy.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Terrell Bowman (Bowman), previously associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bowman 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 $5,000.00 on June 21, 2024.

Customer alleges misrepresentation of surrender penalties for VA sold in 2022.

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

FINRA BrokerCheck shows a settled customer complaint on June 18, 2024.

The clients alleges the movement of funds was never discussed or approved.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Borami Yoon (Yoon), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Yoon 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 $200,000.00 on June 20, 2024.

Claimant alleged, inter Alia, misrepresentation with respect to investments -Dec 2020 through May 2021.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Whitaker (Whitaker), previously associated with Newbridge Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Whitaker 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 $76,000.00 on June 21, 2024.

Breach of fiduciary duty, negligence and reg bi.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jaime Estrada (Estrada), currently associated with Wells Fargo Advisors Financial Network, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Estrada 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 $67,000.00 on June 18, 2024.

Claimant alleges her Financial Advisor (FA) made an unsuitable annuity recommendation for Claimant’s age and needs.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Tiffany Osman (Osman), currently associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Osman 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 $5,000.00 on June 21, 2024.

Customer alleges misrepresentation of surrender penalties for VA sold in 2022

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Archimede (Archimede), previously associated with PFS Investments INC., has at least 3 disclosable events. These events include 2 customer complaints, one regulatory event, alleging that Archimede 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 $173,000.00 on June 20, 2024.

Michael archimede allegedly borrowed money from [redacted] on or around December 12, 2023.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Gibson (Gibson), currently associated with Purshe Kaplan Sterling Investments, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Gibson 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 $2,160,000.00 on June 20, 2024.

Clients Allege misrepresentation, negligence and that the investments:  4 different DSTs were unsuitable.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Loren Morrison (Morrison), currently associated with Stifel, Nicolaus & Company, Incorporated, has at least 4 disclosable events. These events include 4 customer complaints, alleging that Morrison 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 June 18, 2024.

Claimants allege violation of FINRA Rules 2111 and 2010, unauthorized trading, breach of fiduciary duty, negligence and breach of contract.

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