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

FINRA BrokerCheck shows a settled customer complaint on September 03, 2024.

Customer alleges the Variable Universal Life insurance policy he purchased in January 2024 was not clearly understood at the time of sale, including the policy’s surrender charges, therefore he requests a total refund.

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

FINRA BrokerCheck shows a final customer complaint on August 31, 2024.

Delinquent taxes resulted in the revocation of the Wisconsin insurance license for this representative.

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

FINRA BrokerCheck shows a final customer complaint on September 05, 2024.

Without admitting or denying the findings, Garofalo consented to the sanctions and to the entry of findings that while registered with FINRA as a foreign associate, he engaged in securities activities with and for persons in the United States without the required registration to do so. The findings stated that Garofalo used email and phone communications to discuss securities transactions and exchange related paperwork with investors and broker-dealers located in the United States. Garofalo through his member firm earned a commission by facilitating a private secondary securities transaction between two investors located in the United States. Garofalo helped to introduce and exchange documents and information between the investors, through two other broker-dealers also located in the United States. In addition, Garofalo introduced a seller of certain private company shares to an investor, and exchanged documents and information between them, through other broker-dealers. All of the parties except Garofalo were located in the United States. Eventually, one investor wired $2.5 million to buy the shares before learning, through a different firm, that the seller did not own the shares. The investor’s funds were returned.

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

FINRA BrokerCheck shows a final customer complaint on September 03, 2024.

Respondent Jankowski failed to respond to FINRA requests for information.

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nicholas Peterson (Peterson), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Peterson 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 $300,000.00 on September 04, 2024.

Client alleges unsuitable investment recommendations.

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lino Gutierrez (Gutierrez), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Gutierrez 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 September 04, 2024.

Client alleges Representative did not act in her best interest in 2020.

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

FINRA BrokerCheck shows a final customer complaint on September 03, 2024.

Respondent Marrero failed to respond to FINRA requests for information.

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Mitchell (Mitchell), currently associated with Bok Financial Securities, Inc., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Mitchell 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 $300,000.00 on September 04, 2024.

Complainant indicates displeasure with product liquidity, and alleges they were not informed regarding the risks of investing in the products during sales process on or around June 2016 through March 2017.

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Amy Zwaan (Zwaan), currently associated with Alexander Capital, L.p., has at least 2 disclosable events. These events include 2 tax liens, alleging that Zwaan recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on September 03, 2024.

Respondent Zwaan failed to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA request to provide information concerning the status of compliance.

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

FINRA BrokerCheck shows a final customer complaint on September 03, 2024.

Without admitting or denying the findings, Deo consented to the sanctions and to the entry of findings that he certified to the State of New York that he had personally completed 15 hours of continuing education required to renew his state insurance license when, in fact, another person had completed that continuing education on his behalf.

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