Articles Posted in Reg BI

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Perkins (Perkins), currently associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Perkins 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 $120,000.00 on December 06, 2022.

Violation of Colorado Securities Act, Breach of Fidicuary Duty, Negligent Misrepresentation, Violations of FINRA rule 2010, 2120, 2111.05(a), Breach of Contract, Vicarious Liability,

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Charles Lawson (Lawson), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Lawson 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 $286,779.00 on December 07, 2022.

Time frame:   January 2021- April 2022  \, \, Allegations: Claimants allege their financial advisor made an unauthorized purchase of a mutual fund and incorrectly advised that the fund would provide a hedge for general equity market exposure.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Bedford (Bedford), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Bedford 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 $17,000.00 on December 06, 2022.

The client alleges that the financial advisor did not adequately describe the mutual fund purchased on August 21, 2021.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jason Plucinak (Plucinak), currently associated with Wealthforge Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Plucinak 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 $150,000.00 on December 02, 2022.

Suitability, misrepresentation and Omissions, Violation of FINRA Rules

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven Westerman (Westerman), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Westerman 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 $10,000.00 on December 06, 2022.

Time Frame: September 6th, 2022 to September 26th, 2022\, \, What were the allegations against the individual? The client alleges that his Financial Advisor did not follow his instructions by liquidating his account, in a timely manner,  in order to move control of his Donor Advised Fidelity fund to himself.

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

FINRA BrokerCheck shows a settled customer complaint on December 05, 2022.

The complainant alleges that the registered representative misled her into purchasing an aggressive growth fund on May 24, 2021

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

FINRA BrokerCheck shows a settled customer complaint on December 06, 2022.

Client alleges the terms of the callable fixed rate note purchased on October 28, 2019 were misrepresented. The client liquidated the CD on October 13, 2022.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Scott Davis (Davis), currently associated with LPL Enterprise, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Davis 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 $19,331.00 on December 08, 2022.

Customer Alleges the rep did not fully disclose all the facts regarding Tax Consequences.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Shenk (Shenk), currently associated with Ifp Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Shenk 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 $433,000.00 on December 07, 2022.

The claimants allege unsuitable investments.

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

FINRA BrokerCheck shows a pending customer complaint on December 01, 2022.

Class action on behalf of investors who purchased unregistered securities beginning in 2019.

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