Articles Posted in Reg BI

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Valentine (Valentine), currently associated with Oppenheimer & CO. INC., has at least one disclosable event. These events include one customer complaint, alleging that Valentine 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 $40,000.00 on August 26, 2025.

TRUSTEE ALLEGES THAT UNAUTHORIZED TRANSACTIONS HAVE TAKEN PLACE IN THE ACCOUNT FROM DECEMBER 2023 THROUGH THE PRESENT

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

FINRA BrokerCheck shows a pending customer complaint on August 29, 2025.

The client complained that the Financial Advisor assured them that their principal investment plus interest would be returned after 6 months. However, losses were incurred upon liquidation of the investment. (11/21/2024 – 08/29/2025)

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dawn Clark (Clark), previously associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Clark 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 $75.00 on August 28, 2025.

The complainant alleges that in/and around December 2024, the registered representative opened a Roth IRA account, without her consent.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Beech (Beech), previously associated with Innovation Partners LLC, has at least one disclosable event. These events include one customer complaint, alleging that Beech 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 $282,000.00 on August 28, 2025.

Recommendation of unsuitable investment in GWG L bond in May 2019

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

FINRA BrokerCheck shows a pending customer complaint on August 28, 2025.

CLIENT ALLEGES MISREPRESENTATION WITH RESPECT TO SHARE CLASS, INTERNAL FEES AND PLACEMENT FEE IN RELATION TO HEDGE FUND INVESTMENT 2025

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Leroy Born (Born), previously associated with Wells Fargo Clearing Services, LLC, has at least 5 disclosable events. These events include 5 customer complaints, alleging that Born recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on August 30, 2025.

Client complains that Financial Advisor assured him recommended investment would be safe and secure and seeks mitigation of losses. (7/19/2024 – 6/18/2025)

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Song (Song), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Song 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 $459,999.00 on September 03, 2025.

THE CLIENT ALLEGES THAT HER ADVISOR, WITHOUT AUTHORIZATION, SIGNED ANNUITY PURCHASE PAPERWORK. ADDITIONALLY, THE CLIENT ALLEGES HER ADVISOR BORROWED $6,000. ALLEGATION PERIOD:  8/16/23 – 8/22/25

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Eschleman (Eschleman), currently associated with Purshe Kaplan Sterling Investments, has at least one disclosable event. These events include one customer complaint, alleging that Eschleman 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 $1,175,140.23 on September 02, 2025.

Client alleges the recomenedation to effect a 1031 exchange into two DSTs:  Campus Walk DST and 4th & J DST were unsuitable.

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

FINRA BrokerCheck shows a pending customer complaint on September 02, 2025.

The plaintiff alleged that Evercore Group L.L.C. (the “Firm”) and Mr. Wolfson, among others, violated certain provisions of law in connection with the sale of the company.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jason Nardella (Nardella), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Nardella 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 $677,817.54 on September 05, 2025.

The client alleged the advisor sold stocks, including Meta, Microsoft, and Nvidia, without authorization between 2022 and 2023.

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