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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Errol Griffiths (Griffiths), previously associated with Tiaa-cref Individual & Institutional Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Griffiths recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on March 23, 2020.

The customer alleges failure to disclose charges, expenses and fees, guarantees and risks and the free look provision. This complaint was received on 1/14/20 but was not reported because it did not meet our criteria for reporting. The complaint is now being reported due to the settlement amount of $31,500.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Espen Platou (Platou), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Platou 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 $5,365.00  on March 20, 2020.

Client alleges that he instructed that funds sent to his outside money manager be kept in cash, but instead they were invested in the market. The client is requesting the account loss in value. It was determined that the third-party money manager made the error.

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

FINRA BrokerCheck shows a settled customer complaint on March 24, 2020.

The client alleges unsuitable investment recommendations from February 2020 through March 2020.

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

FINRA BrokerCheck shows a settled customer complaint on March 23, 2020.

The Customers alleges failure to follow instructions from December 2019 to March 2020.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Scotty Hendricks (Hendricks), currently associated with Ameritas Investment Company, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hendricks 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 $23,014.00  on March 20, 2020.

Customer alleges the variable annuity he purchased in or around February 2018 is not suitable for his financial needs.

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

FINRA BrokerCheck shows a settled customer complaint on March 23, 2020.

Time Frame: March 18, 2020 to March 19, 2020  \<char_lb_r>\, The client alleges his trades were not completed as instructed. The alleged damages are estimated to be in excess of $5,000.00.

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The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Joseph Barbour (Barbour), currently employed by Encompass More Investments, LLC has been subject to at least one disclosable event. These events include one customer complaint. According to records kept by The Financial Industry Regulatory Authority (FINRA), Barbour’s most recent customer complaint alleges that Barbour recommended unsuitable investments in structured products and makes allegations concerning misconduct relating to the handling of the customer’s accounts.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $42,430.00  on March 23, 2020.

Customer purchased structured note in February, 2020. Following receipt of account statement, customer complained to the firm that the investment was unsuitable for her because of the fluctuation in value and her risk tolerance. Customer liquidated the position before her complaint was received by the firm, locking in the market loss.

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The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Joel Beeson (Beeson), previously employed by Bbva Securities INC. has been subject to at least one disclosable event. These events include one customer complaint. According to records kept by The Financial Industry Regulatory Authority (FINRA), Beeson’s most recent customer complaint alleges that Beeson recommended unsuitable investments in structured products and makes allegations concerning misconduct relating to the handling of the customer’s accounts.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $42,430.00  on March 23, 2020.

Customer purchased structured note in February, 2020. Following receipt of account statement, customer complained to the firm that the investment was unsuitable for her because of the fluctuation in value and her risk tolerance. Customer liquidated the position before her complaint was received by the firm, locking in the market loss.

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

FINRA BrokerCheck shows a settled customer complaint on March 23, 2020.

Customer alleges that she was told that her account value would never be lower that her initial deposit when she purchased a VA in October 2018.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jason Skyler (Skyler), previously associated with Kovack Securities INC., has at least one disclosable event. These events include one customer complaint, alleging that Skyler 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 $12,000.00  on March 21, 2020.

Client claims that her account was improperly managed resulting in market losses.

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