Articles Posted in Reg BI

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dan Csuma (Csuma), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Csuma 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 $28,369.00  on March 09, 2020.

Client alleges unauthorized trading regarding managed account investment. Activity dates 02/26/2020-02/26/2020.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Catherine Santiago Toca (Santiago Toca), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Santiago Toca 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 $2,000,000.00  on March 09, 2020.

The customer alleges unsuitable investment recommendations and misrepresentations.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Donald Waage (Waage), previously associated with Capital Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Waage 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 $5,000.00  on March 05, 2020.

Clients allege breach of fiduciary duty, misrepresentation,violation of indiana state securities laws.

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

FINRA BrokerCheck shows a settled customer complaint on March 06, 2020.

2004 – Client alleges that the representative replaced his first policy with a second policy and he does not think that he signed the application for life insurance or policy change.

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

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

The client states she met with the representative on December 13, 2018 and discussed her account portfolio. The client indicates that her accounts were redistributed that day without her knowledge to a more conservative portfolio than she previously had with her employer plan accounts.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Cynthia Hwang (Hwang), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hwang 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 $17,378.00  on March 16, 2020.

Client alleges suitability regarding mutual fund investment. Activity dates  03/06/2020-03/06/2020.

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

FINRA BrokerCheck shows a settled customer complaint on March 15, 2020.

The client alleges that the trades placed on February 24, 2020 were not authorized.

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

FINRA BrokerCheck shows a settled customer complaint on March 13, 2020.

The customer alleges failure to follow instructions on March 5, 2020.

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

FINRA BrokerCheck shows a settled customer complaint on March 12, 2020.

Client verbally complained that the financial advisor invested in securities that were outside the specific guidelines given by the client.

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

FINRA BrokerCheck shows a settled customer complaint on March 13, 2020.

Client verbally complained that the financial advisor did not invest his funds as instructed. (1/29/2020-3/13/2020)

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