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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Mcleod (Mcleod), previously associated with Intervest International Equities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Mcleod 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 $30,000.00 on August 26, 2020.

Client alleged negligence, professional negligence, violations of law, unsuitable recommendations, negligent supervision, breach of contract, breach of fiduciary duty, and breach of securities industry law and rules related to two (2) non-traded real estate investment trusts purchased by client on or about June 2016

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

FINRA BrokerCheck shows a award / judgment customer complaint with a damage request of $100,000.00 on August 25, 2020.

Durham was a subject of the customer’s complaint against his member firm that asserted the following causes of action: breach of contract and warranties; promissory estoppel; violation of the Texas Deceptive Trade Practices – Consumer Protection Act; violation of the Texas Securities Act; statutory fraud; breach of fiduciary duty; negligence and gross negligence; misrepresentation/omission and negligent misrepresentation/omission; unjust enrichment; failure to supervise; common law and statutory claims; and vicarious and control person liability.

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

FINRA BrokerCheck shows a settled customer complaint on September 22, 2020.

Claimant contends that his financial advisor engaged in unauthorized trading in his discretionary account when he liquidated the account.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Corey Flaum (Flaum), previously associated with Market Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Flaum 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 $5,000,000.00 on August 21, 2020.

Plaintiffs assert violations of the US Commodity Exchange Act and the common law doctrine of unjust enrichment. Plaintiffs allege that from at least January 1, 2008 through at least July 31, 2016, class members suffered damages as a result of fraudulent and manipulative trading practices by BNS and the individual defendants, specifically unlawful spoofing, in connection with the purchase and sale of gold, silver, platinum and palladium futures and options contracts. The allegations relate to the facts at issue in the Deferred Prosecution Agreement entered into between BNS and the US Department of Justice, and those described in orders of the US Commodity Futures Trading Commission filing and settling charges against BNS, all announced on August 19, 2020

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Javier Estremera (Estremera), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Estremera 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 $100,000.00 on August 27, 2020.

Claimants allege their investments in Puerto Rico closed-end funds were unsuitable, over-concentrated, and misrepresented as safe investments.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Smith (Smith), previously associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Smith 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 $200,000.00 on August 24, 2020.

Claimants alleges, inter alia, that investments sold to them were unsuitable – 8/1/2016 to 7/31/2020

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Farnan (Farnan), previously associated with Securities America, INC., has at least one disclosable event. These events include one customer complaint, alleging that Farnan 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 $65,000.00 on August 20, 2020.

Customers allege their account was overly concentrated in alternative investments.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mitchell Bornstein (Bornstein), previously associated with Cetera Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bornstein 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 $50,000.00 on August 21, 2020.

Customer alleges that the representative made unsuitable investment recommendations

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Manuel Porrata Monserrate (Porrata Monserrate), currently associated with Nationwide Planning Associates INC., has at least one disclosable event. These events include one customer complaint, alleging that Porrata Monserrate 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 $100,000.00 on August 27, 2020.

Claimants allege their investments in Puerto Rico closed-end funds were unsuitable, over-concentrated, and misrepresented as safe investments.

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

FINRA BrokerCheck shows a settled customer complaint on August 20, 2020.

Breach of Fiduciary duty, misrepresentations and ommissions of material facts, failure to conduct due diligence, and unsuitable recommendations.

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