Articles Posted in Reg BI

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Allen (Allen), currently associated with Raymond James Financial Services, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Allen 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 $64,900.00  on May 19, 2020.

Time Frame: February 03, 2020 to April 09, 2020\<char_lb_r>\, The client alleges his shares were not sold as instructed.

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

FINRA BrokerCheck shows a settled customer complaint on May 24, 2020.

Client complained that the financial advisor did not place trades as instructed, resulting in lost opportunity to take advantage of the subsequent market downturn. (2/19/2020-4/6/2020)

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

FINRA BrokerCheck shows a settled customer complaint on May 19, 2020.

Client verbally complained that the financial advisor previously told him the income rider would grow until the client began taking withdrawals, however, the financial advisor since advised it stopped growing on the recent 10-year benefit anniversary. (5/21/2009)

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Marcello Lattuca (Lattuca), currently associated with Nbc Securities, INC., has at least 6 disclosable events. These events include 6 customer complaints, alleging that Lattuca recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

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

CLAIMANTS ALLEGE UNSUITABLE RECOMMENDATIONS, FRAUDULENT MISREPRESENTATION, CHURNING, BREACH OF CONTRACT, NEGLIGENT SUPERVISION, AND BREACH OF FIDUCIARY DUTY. \<char_lb_r>\, EXACT DATE OF EVENTS IS NOT KNOWN BUT IS FROM PRIOR TO THE RR’S CURRENT EMPLOYMENT DATE AND CONTINUED THROUGH MARCH 2020.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jerry Korchak (Korchak), currently associated with Kestra Investment Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Korchak 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 $7,790,689.00  on May 21, 2020.

Client alleged breached of fiduciary duty and related claims associated with services to a retirement fund.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Marc Menton (Menton), previously associated with Oppenheimer & CO. INC., has at least 4 disclosable events. These events include 4 customer complaints, alleging that Menton recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint with a damage request of $485,000.00  on May 26, 2020.

Claimant alleges claims for Fraudulent Misrepresentation, Fraudulent Concealment, Negligent Misrepresentation, Negligent Concealment, Negligence, Unsuitability, Breach of Fiduciary Duty, Breach of Contract, Breach of the Implied Covenant of Good Faith and Fair Dealing, Elder Abuse. From 1/1/2010 to 12/31/2019.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Dowell (Dowell), currently associated with Cetera Wealth Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Dowell 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 $19,114.00  on May 20, 2020.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $19,114.00  on May 20, 2020.

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

FINRA BrokerCheck shows a settled customer complaint on May 21, 2020.

Power of Attorney for client complained that the securities in the client’s account were not suitable. (9/8/2016-5/21/2020)

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Satya Shaw (Shaw), previously associated with Center Street Securities, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Shaw 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 $140,000.00  on May 21, 2020.

Unsuitable

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Roberts (Roberts), previously associated with Benchmark Investments, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Roberts 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 $8,100.00  on May 26, 2020.

Unsuitable Investments.

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