Articles Posted in Reg BI

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Grillo (Grillo), currently associated with Cambridge Investment Research, INC., has at least one disclosable event. These events include one customer complaint, alleging that Grillo 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 $327,000.00 on May 06, 2020.

Verbal allegations related to suitability of investments.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Anderson (Anderson), previously associated with Cetera Advisor Networks LLC, has at least one disclosable event. These events include one customer complaint, alleging that Anderson 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 $20,938.00 on May 04, 2020.

CUSTOMER ALLEGES THAT IN 2017 THE REPRESENTATIVE RECOMMENDED AND PROCESSED A 401(k) LOAN WITHOUT ENSURING THE RECOMMENDATIONS WAS APPROPRIATE AND THIS RESULTED IN LOSSES DUE TO PENALTIES, SANCTIONS, INTEREST, AND EXPENSES.

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

FINRA BrokerCheck shows a settled customer complaint on May 05, 2020.

Time Frame: March 13, 2020 to March 18, 2020\<char_lb_r>\, \<char_lb_r>\, What were the allegations against the individual? \<char_lb_r>\, The clients allege their instructions to have trades placed were not followed. The alleged damages are in excess of $5,000.00.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker S. Michael Helal (Helal), currently associated with Fidelity Brokerage Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Helal 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 $231,000.00 on May 05, 2020.

The customer alleged that the registered representative misrepresented the investment strategy of a managed account offered by an unaffiliated registered investment advisor when a referral was made to the unaffiliated advisor.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lisa Thorpe (Thorpe), currently associated with Wells Fargo Advisors Financial Network, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Thorpe 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 $40,000.00 on May 05, 2020.

Client complained that the financial advisor advised him the death benefit on his variable annuity would not go below a specific dollar amount and yet it has declined. (9/12/2007)

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jason Mcbride (Mcbride), previously associated with Forta Financial Group, INC., has at least one disclosable event. These events include one customer complaint, alleging that Mcbride 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 $500,000.00 on May 05, 2020.

The boiler plate allegations include negligence, unsuitable recommendations, breach of contract and breach of fiduciary duty between September 2011 and May 2016

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

FINRA BrokerCheck shows a pending customer complaint on May 06, 2020.

Client alleges the COLI policies issued to them in 2006 and 2008 were misrepresented to them and unsuitable for their needs.

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

FINRA BrokerCheck shows a settled customer complaint on May 07, 2020.

Client complained that the financial advisor did not sell as initially instructed and that she subsequently converted the mutual fund position to cash without first discussing with the client. (11/27/2019-12/2/2019)

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jose Acosta Jordan (Acosta Jordan), currently associated with Investment Planners, INC., has at least one disclosable event. These events include one customer complaint, alleging that Acosta Jordan 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 $250,000.00 on May 05, 2020.

Claimant alleges that Financial Consultant investment recommendations to purchase and to hold P.R. Securities were unsuitable in light of the clients’ risk tolerance. Claimants also allege that recommendations made by the Financial Consultant were particularly egregious in light of Puerto Rico’s well known deteriorating financial condition.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Berry (Berry), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Berry 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 $112,000.00 on May 07, 2020.

Client alleges failure to follow instructions related to disbursement and poor service.

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