Articles Posted in Reg BI

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Boyer (Boyer), currently associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Boyer 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 $19,500.00  on May 22, 2020.

The Firm released payment through ACH without client’s consent to pay for unauthorized credit card charges made by the client’s caregiver.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Glenn Childres (Childres), previously associated with UBS Financial Services INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Childres 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 $400,000.00  on May 22, 2020.

Time frame: Unspecified    \<char_lb_r>\, \<char_lb_r>\, Allegations: Claimant’s counsel alleges unsuitability of certain investments, and that such investments resulted in principal losses.

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

FINRA BrokerCheck shows a settled customer complaint on June 01, 2020.

Client alleges the representative denied him access to make trades on his account. Activity occurred between March 24, 2020, through April 2, 2020.

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

FINRA BrokerCheck shows a settled customer complaint on May 27, 2020.

Client alleges, inter alia, that purchases and concentration of hertz bonds in her portfolio were unsuitable. 2019 – 2020  damages unspecified

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

FINRA BrokerCheck shows a settled customer complaint on May 28, 2020.

Client verbally alleged misrepresentation with respect to mutual fund investment  – March 2020.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Margaret Wiley (Wiley), currently associated with Steward Partners Investment Solutions, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Wiley 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 $7,811.36  on May 28, 2020.

Client alleges advisor misrepresented annuity payout options. Alleged Activity dates: 12/19/19 – 2/01/2020.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Molly Grubb (Grubb), previously associated with Cambridge Investment Research, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Grubb 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 May 29, 2020.

Clients allege that RR misrepresented the products sold to them. Allegations were made that the products purchased were unsuitable for their risk tolerance and inexperienced investing.

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

FINRA BrokerCheck shows a settled customer complaint on June 01, 2020.

Client alleges misrepresentation in the sale of an insurance policy in 2018.

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

FINRA BrokerCheck shows a settled customer complaint on May 27, 2020.

FINRA BrokerCheck shows a settled customer complaint on May 27, 2020.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kinan Nimeh (Nimeh), previously associated with Garden State Securities, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Nimeh 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 $50,000.00  on May 26, 2020.

Over-concentration in a security, unsuitable transactions. Time period approx 2011-2015.

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