Articles Posted in Reg BI

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

FINRA BrokerCheck shows a award / judgment customer complaint with a damage request of $79,309.00 on September 18, 2020.

McCarthy was a subject of the customers’ complaint against her member firm and other named respondents that asserted the following causes of action: negligence and gross negligence; misrepresentation; omission of material fact; failure to supervise; breach of fiduciary duty; and breach of contract.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Charles Krsek (Krsek), previously associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Krsek 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 $35,000.00 on September 21, 2020.

Customer alleges unsuitable investment recommendations.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Riggenbach (Riggenbach), previously associated with Woodbury Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Riggenbach 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 $262,000.00 on September 23, 2020.

Customers allege the representative made recommendations that did not meet the client’s needs and allegedly caused losses.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Goetz (Goetz), previously associated with Network 1 Financial Securities INC., has at least one disclosable event. These events include one customer complaint, alleging that Goetz 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 $420,000.00 on September 23, 2020.

Fraud, Breach of Fiduciary Duty, Suitability, Failure to Supervise

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

FINRA BrokerCheck shows a settled customer complaint on September 23, 2020.

Plaintiff alleges that the Defendant, who is also successor trustee, failed to properly administer the trust.

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

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

Claimant alleges, inter alia, unsuitability with respect to investments – August 2014 to June 2015.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Donald Quante (Quante), previously associated with Center Street Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Quante 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 $809,116.00 on September 21, 2020.

Customer alleges that representative failed to properly structure and effect assignment of a variable annuity that was purchased while the representative was associated with a prior firm.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Berger (Berger), previously associated with Arkadios Capital, has at least one disclosable event. These events include one customer complaint, alleging that Berger 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 September 22, 2020.

More than five years post investment and after receiving approximately $30,000 in distributions, Claimant now alleges the $100,000 investment she elected to make in GPB Holdings in 2015 was/is unsuitable.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alan Berger (Berger), currently associated with Arkadios Capital, has at least one disclosable event. These events include one customer complaint, alleging that Berger 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 September 22, 2020.

More than five years post investment and after receiving approximately $30,000 in distributions, Claimant now alleges the $100,000 investment she elected to make in GPB Holdings in 2015 was/is unsuitable.

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

FINRA BrokerCheck shows a settled customer complaint on September 25, 2020.

Client alleges an insurance policy sold by the RR in 2017 was unsuitable.

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