Articles Posted in Reg BI

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

FINRA BrokerCheck shows a settled customer complaint on November 05, 2021.

Plaintiff alleges that in April 2014, the financial advisor misrepresented the handling of distribution of assets from a Trust.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Randall Raymond (Raymond), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Raymond 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 November 10, 2021.

Customer alleges breach of fiduciary duty, negligence, and breach of contract with regard to the sale of GPB Automotive Portfolio, LP

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

FINRA BrokerCheck shows a settled customer complaint on November 12, 2021.

Claimant alleges that Respondents failed to timely or appropriately update the beneficiaries on her ex-husband’s accounts in 2013.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Charles Ingle (Ingle), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Ingle 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 $48,000.00 on November 08, 2021.

The client alleges the financial advisor failed to follow his instructions regarding the dollar amount of mutual funds to be sold in his account.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Dunnavant (Dunnavant), previously associated with the O.n. Equity Sales Company, has at least one disclosable event. These events include one customer complaint, alleging that Dunnavant 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 $150,000.00 on November 12, 2021.

Clients allege they were sold illiquid and unsuitable investments

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Roy Budd (Budd), previously associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Budd 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 November 08, 2021.

Claimant alleges, inter alia, unsuitability with respect to concentrated investment in managed account – April, 2019.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joshua Stier (Stier), currently associated with Charles Schwab & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Stier 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 $48,008.00 on November 17, 2021.

Client alleges that instructions provided to the representative to buy to close 11 Tesla contracts were not followed, resulting in a monetary loss.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Nanthrup (Nanthrup), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Nanthrup 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 $23,291.10 on November 16, 2021.

The client alleged her advisor did not follow her instructions regarding how a variable annuity purchase was to be funded in July 2020.

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

FINRA BrokerCheck shows a settled customer complaint on November 22, 2021.

Claimants allege that around December 2020, the FA recommended unsuitable stocks.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Shelby Moore (Moore), currently associated with Arkadios Capital, has at least one disclosable event. These events include one customer complaint, alleging that Moore 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 November 18, 2021.

Claimants allege that the financial professional recommended an investment that was unsuitable.

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