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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ariel Morales Reyes (Morales Reyes), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Morales Reyes 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 $22,400.00 on January 08, 2021.

Time Frame: December 23, 2020 – January 4, 2021  \<char_lb_r>\, The client alleges his instructions to liquidate his security was not followed

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Rashidah Billups (Billups), previously associated with Intervest International Equities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Billups 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 $5,500.00 on January 05, 2021.

Client alleges rr misrepresented policy at the time of sale in 12/2019. Client feels rr didn’t properly identify product as a life insurance policy, explain how the policy worked or disclose policy charges.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jefferson Campbell (Campbell), currently associated with Cetera Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Campbell 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 $7,000.00 on January 11, 2021.

Clients allege that representative recommendations regarding retirement assets resulted in a $7,000 tax liability

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

FINRA BrokerCheck shows a settled customer complaint on January 07, 2021.

Time Frame: December 24, 2020 to January 7, 2021 \<char_lb_r>\, The client alleges his instructions to have his security sold was not followed. The alleged damages are estimated to be in excess of $5,000.00

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gregory Stevens (Stevens), previously associated with Spartan Capital Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Stevens 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 $41,916.00 on January 11, 2021.

Claimant alleges over concentration, unsuitability and excess trading.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Rodney Repko (Repko), previously associated with Lincoln Financial Advisors Corporation, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Repko recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on January 11, 2021.

The client alleges the RR processed withdrawals from his variable annuity without his consent and harming the guarantees provided by the annuity.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nadya Mirza (Mirza), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Mirza recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on January 05, 2021.

Client alleges representative misrepresented that client could take out funds under to the CARES Act without penalty.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Fles (Fles), currently associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Fles 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 $25,000.00 on January 05, 2021.

Claimant alleges their registered representative recommended unsuitable investments

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Scott Ferguson (Ferguson), currently associated with Cambridge Investment Research, INC., has at least one disclosable event. These events include one customer complaint, alleging that Ferguson 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 $300,000.00 on January 04, 2021.

Claimant’s allege that the financial professional recommended an alternative investment that was unsuitable.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brad Small (Small), previously associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Small 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 $24,750.00 on January 04, 2021.

Claimants allege breach of contract and unjust enrichment.

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