Articles Posted in Reg BI

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lisa Waterman (Waterman), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Waterman 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 $500,000.00 on September 17, 2020.

Claimant alleges that the trust account was over concentrated in alternative investments

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kirk Gill (Gill), previously associated with Taylor Capital Management INC., has at least one disclosable event. These events include one customer complaint, alleging that Gill 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 $238,316.00 on September 17, 2020.

Clients’ attorney alleged unsuitability with respect to energy security investments – December 2013 through March 2016.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Adam Goodman (Goodman), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Goodman 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 $500,000.00 on September 18, 2020.

Client alleges unauthorized trading and unsuitable transactions since February 2014

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Prann (Prann), currently associated with Stonecrest Capital Markets, INC., has at least one disclosable event. These events include one customer complaint, alleging that Prann 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 $25,230.00 on September 17, 2020.

Unauthorized sale of FBP on August 13, 2018.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Barry Sobel (Sobel), currently associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Sobel 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 $1,000,000.00 on September 15, 2020.

Claimant alleges that from 2014 to 2016, DBSI made unsuitable investments in Claimant’s discretionary account. Claimant asserts several causes of action including breach of contract, unsuitability and breach of fiduciary duty.

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

FINRA BrokerCheck shows a settled customer complaint on September 14, 2020.

Attorney for the executor of the client’s estate alleges the rr engaged is false and misleading conduct with former poa agent in relation to opening an account in the client’s name, allowed the agent to designate beneficiaries other than the estate, and conspired with the agent to deplete the assets of the estate. Time period of the activity is from March 2018 through December 2019.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Cheryl Marquez (Marquez), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Marquez 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 $119,594.09 on September 17, 2020.

Clients, through attorney, allege that the rr did not follow explicit instructions to sell and failed to inform them about the status of their investment resulting in a loss in their account.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gerard Melley (Melley), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Melley 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 $300,000.00 on September 17, 2020.

Time frame: 2013 – present\<char_lb_r>\, Claimant’s counsel alleges unsuitability and mismanagement with respect to recommendations and handling of accounts.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Barry Richter (Richter), currently associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Richter 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 $350,000.00 on September 18, 2020.

Client alleges FA failed to properly invest claimants funds in accordance with her risk and objectives. Allegation Activity Dates: 8/5/2011 to Present.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Scott Sideras (Sideras), previously associated with D.a. Davidson & CO., has at least one disclosable event. These events include one customer complaint, alleging that Sideras 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 $10,962.62 on September 18, 2020.

Client alleged misrepresentation when municipal bond matured for less than par value. From 05/22/2018 to 07/24/2020.

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