Articles Posted in Reg BI

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Adam Wright (Wright), previously associated with Center Street Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Wright 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 $25,000.00 on November 21, 2022.

Client alleges registered representative recommended an unsuitable investment.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gavin Mccleary (Mccleary), previously associated with Fbl Marketing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mccleary 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 $17,854.72 on November 18, 2022.

The client alleges the RR failed to disclose the surrender charges on a fixed annuity contract, provided poor service and forged their signature to transfer funds into the annuity to get things rolling quicker. They request the affiliate life insurance company waive the surrender charges.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Harrison (Harrison), currently associated with Key Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Harrison 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 $5,000.00 on November 18, 2022.

Administrator of the client’s estate alleges the September 2020 recommendation to 1035 exchange a Pacific Life VA to an Integrity Life SPIA in the amount of $101,473.96 was poor advice

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Emily Rush (Rush), currently associated with the Huntington Investment Company, has at least one disclosable event. These events include one customer complaint, alleging that Rush 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 $18,309.52 on November 23, 2022.

Client alleged that she was never told her account could lose value, that she was entering into a contract, or that her funds would not be accessible to her for the next seven years. Activity date 08/25/2022-08/25/2022.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Hose (Hose), currently associated with Madison Avenue Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hose 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 $20,000.00 on November 16, 2022.

Customer alleges that in early March 2022, he was pressured by Representative to make a partial withdrawal/transfer from a fixed annuity into a managed account portfolio. On March 23, 2022, when the customer changed his mind about the managed account portfolio, Representative offered to reimburse customer for any declines in value experienced by the customer in the managed portfolio within the first six months of the investment. (March 23, 2022 – September 23, 2022)

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Trimble (Trimble), currently associated with Charles Schwab & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Trimble 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 $650,000.00 on November 22, 2022.

The client alleges in 2019 and 2020, the representative recommended bonds that were not suitable for the Trust’s investment objectives.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Heath Bowen (Bowen), previously associated with Allegis Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bowen 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 $10,500,000.00 on November 23, 2022.

Bowen was named in a customer complaint that asserted the following causes of action: Utah Uniform Securities Act, Utah Code\\u00a7 61-1-22; failed to establish reasonable supervisory procedures and reasonably supervise; unsuitable transactions; Lack of Supervision; Breach of Fiduciary Duty; Negligent Failure to Supervise; and Negligence Per Se.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Tony Kassaei (Kassaei), previously associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Kassaei 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 $83,000.00 on November 21, 2022.

During the period November 2018 and February 2019, the customer alleges that the Registered Representative recommended a speculative, high-risk, illiquid and unrated investment.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Winkleblack (Winkleblack), previously associated with Landolt Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Winkleblack 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 $50,000.00 on November 22, 2022.

Client purchased GWG 5-year Renewable Secured Debentures in June 2012, which we believe automatically renewed in 2017 to GWG 5-year L Bond maturing in 2022. Customer now alleges unsuitable recommendation.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Narish (Narish), currently associated with Arete Wealth Management, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Narish 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 $50,000.00 on November 21, 2022.

Client alleges registered representative recommended an unsuitable investments not in the client’s best interest.

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