Articles Posted in Reg BI

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dustin Terry (Terry), previously associated with Great Point Capital LLC, has at least one disclosable event. These events include one customer complaint, alleging that Terry 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 19, 2020.

Unsuitable, illiquid products

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

FINRA BrokerCheck shows a settled customer complaint on May 16, 2020.

Customer alleged that investment in etf’s was based on inaccurate and misleading information, that losses of over $18,000 had resulted, and requested reimbursement. Activity period – 11/15/19 to 4/6/20.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ralph Principe (Principe), previously associated with Aegis Capital Corp., has at least one disclosable event. These events include one customer complaint, alleging that Principe 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 May 18, 2020.

Time Frame: 2013-2015. Allegations include unsuitable use of margin and poor performance.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dennis Rife (Rife), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Rife 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 $100,001.00 on May 19, 2020.

The claimant alleges that recommendations to purchase two investments in his ira account were not in keeping with his needs and objectives.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Timothy Kissling (Kissling), previously associated with Madison Avenue Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kissling 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 $175,000.00 on May 18, 2020.

Claimants allege failure to conduct Due Diligence on several points, unsuitable recommendation, over concentration, misrepresentations and omissions in violation of FINRA regulations in the sale of alternative investments in 2012.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Baumner (Baumner), previously associated with Tradespot Markets INC., has at least 3 disclosable events. These events include 3 customer complaints, alleging that Baumner 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 $67,000.00 on May 18, 2020.

Unsuitable investment recommendations, breach of regulatory requirements, breach of fiduciary duty, breach of contract,negligence and gross negligence

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

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

The customer alleges unauthorized trading from March 11, 2020 until March 26, 2020.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Kolina (Kolina), previously associated with Bbva Securities INC., has at least one disclosable event. These events include one customer complaint, alleging that Kolina 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 May 15, 2020.

Customer purchased several variable and fixed annuities beginning in May, 2015. Customer claims that annuities are unsuitable due to her investment time horizon and liquidity needs.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Russell Ogan (Ogan), currently associated with Oppenheimer & CO. INC., has at least one disclosable event. These events include one customer complaint, alleging that Ogan 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 14, 2020.

Claimant alleges unauthorized trading, negligence, breach of fiduciary duty and breach of contract in relation to the purchase of a UIT. From 1/22/2020 to 1/29/2020

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Stubbs (Stubbs), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Stubbs 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 $16,000.00 on May 18, 2020.

Customer alleges unsuitable recommendation of advisory account and seeks reimbursement of fees.

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