Articles Posted in Reg BI

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Baer (Baer), currently associated with Integrity Alliance, LLC., has at least one disclosable event. These events include one customer complaint, alleging that Baer 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 $850,000.00 on August 10, 2020.

Unsuitable recommendations, material misrepresentatins, elder abuse

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dennis Zaderaka (Zaderaka), previously associated with Securities America, INC., has at least one disclosable event. These events include one customer complaint, alleging that Zaderaka 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 $175,000.00 on August 06, 2020.

Statement of Claim asserts the client was sold numerous high-commission, complex, risky alternative investments, and multiple illiquid investment products.

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

FINRA BrokerCheck shows a settled customer complaint on August 05, 2020.

Client alleges unauthorized trading and unsuitable investments. 12/4/09 – 6/30/21

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Charles Jones (Jones), currently associated with Parkland Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Jones 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 $25,447.00 on August 14, 2020.

Client alleges in November of 2019, RR withdrew funds from her Rollover IRA and was not aware of the tax consequences.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Landon (Landon), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Landon 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 $55,079.23 on August 12, 2020.

Client alleges that the Financial Advisor incorrectly informed the client that they could take money out of an inherited IRA to purchase house and then replace said funds w/in 60 days w/o tax consequence causing significant tax bill.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Meredith Mccutchen (Mccutchen), previously associated with Moody Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mccutchen 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 $45,000.00 on August 11, 2020.

Claim alleges that Rep recommended investment in UDF IV the day before trading was halted and that this was not a suitable recommendation due to the risk involved in the investment and high concentration of alternative investments in the customer’s accounts.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Karn (Karn), previously associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Karn 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 $41,761.00 on August 11, 2020.

Client alleges suitability regarding mutual fund investment. Activity dates 02/19/2020-02/19/2020.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kyle Cunningham (Cunningham), currently associated with Northwestern Mutual Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Cunningham 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 $13,000.00 on August 12, 2020.

Customers allege that in or around April 2019 the representative advised them incorrectly regarding the tax consequences of a 401k rollover and backdoor Roth contributions which resulted in unexpected tax liabilities for the customers.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Deborah Shuster (Shuster), previously associated with Cambridge Investment Research, INC., has at least one disclosable event. These events include one customer complaint, alleging that Shuster 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 $1,000,000.00 on August 13, 2020.

Statement of Claim alleges client was sold alternative, illiquid and complex investment products rather than traditional liquid and well-diversified investment portfolio options.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffry Carel (Carel), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Carel 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 $137,000.00 on August 18, 2020.

Claimant alleges Registered Representative did not execute correct type of order to sell stocks. Activity date is June 5, 2020.

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