Articles Posted in Reg BI

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Edward Casasola (Casasola), previously associated with Charles Schwab & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Casasola 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 $18,500.00  on March 17, 2020.

Client alleges that in March 2020 representative failed to follow instructions regarding the investment of funds into a managed account.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jonathan Hendrickson (Hendrickson), previously associated with Thrivent Investment Management INC., has at least one disclosable event. These events include one customer complaint, alleging that Hendrickson 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 $26,000.00  on March 17, 2020.

Customer alleged representative failed to follow instructions in February 2020 to redeem sub-accounts in variable annuity timely, which resulted in market losses.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Adam Heath (Heath), previously associated with Northwestern Mutual Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Heath 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 $32,021.81  on March 16, 2020.

Representative allegedly failed to follow the customer’s instructions to liquidate his account which resulted in a loss of value in the customer’s account.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mason Gann (Gann), previously associated with Berthel, Fisher & Company Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Gann 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 $53,000.00  on March 17, 2020.

The client alleges the representative over concentrated their assets in two stocks which were unsuitable did not preform as expected. The client also alleges the firm failed to supervise the actions of the representative.

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

FINRA BrokerCheck shows a settled customer complaint on March 16, 2020.

The client states that she had an in-person meeting with the representative on December 18th, 2019 where a request was discussed and finalized to reallocate all assets in her two accounts to 75% money market and 25% equities. The client further states that she left the meeting satisfied with the changes and that there was no indication from the representative that he intended not to proceed per her directions. The client claims that she reviewed her accounts a week prior to the March 16 email and noticed that the changes were never made and wants a meeting with the escalation team to determine a path forward.

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

FINRA BrokerCheck shows a settled customer complaint on March 17, 2020.

Client alleges that advisor failed to invest his money.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Duane Heiling (Heiling), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Heiling 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 $12,000.00  on March 18, 2020.

The client alleged the advisor failed to follow instructions to liquidate mutual fund security positions in his account(s) in March 2020.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gary Vance (Vance), previously associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Vance 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 $8,081.23  on March 18, 2020.

Time Frame: March 6, 2020 to March 17, 2020  \<char_lb_r>\, The client alleges he was not informed he could lose money in his investment and that there was no risk.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Paul Curran (Curran), previously associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Curran 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 $108,500.00  on March 18, 2020.

Plaintiff filed a claim against her daughter-in-law, son, and Edward Jones. Plaintiff alleges that Edward Jones mailed a check to her son and daughter-in-law’s residence at the direction of her son or daughter-in-law. Plaintiff alleges that she did not authorize the check nor intend this money to be paid to her son or daughter-in-law. Plaintiff alleges that Edward Jones mailed the check without her knowledge and consent breaching its contractual, regulatory and fiduciary duty.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Ogren (Ogren), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Ogren recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on March 17, 2020.

Through their Power of Attorney, the customer alleges unsuitable investment recommendations in 2008 and in 2015.

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