Articles Posted in Reg BI

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alberto Valdes (Valdes), currently associated with Insigneo Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Valdes 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 September 15, 2021.

Claimant alleges registered representative recommended unsuitable investment. Dates of activity: 8/30/2016 to 6/30/2021.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven Cho (Cho), currently associated with Herbert J. Sims & Co, INC., has at least one disclosable event. These events include one customer complaint, alleging that Cho 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 $29,501.00 on September 15, 2021.

Unsuitability, misrepresentation/omission

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ronan Gaudario (Gaudario), previously associated with Voya Financial Advisors, INC., has at least one disclosable event. These events include one customer complaint, alleging that Gaudario 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 $100,001.00 on September 20, 2021.

Claimant alleges that in 2015 the representative improperly recommended investment in high risk, illiquid alternative investments, and misrepresented the investments as safe and providing a 6% return.

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

FINRA BrokerCheck shows a settled customer complaint on September 17, 2021.

The complainant alleges that in or around August 2020, her assets were placed in the wrong risk allocation, which resulted in lower than expected returns.

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

FINRA BrokerCheck shows a settled customer complaint on September 14, 2021.

Attorney for client alleged unauthorized trading with respect to equity investment – January 20, 2015

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Barbara Meyers (Meyers), currently associated with Westpark Capital, INC., has at least one disclosable event. These events include one customer complaint, alleging that Meyers 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 September 16, 2021.

According to a disclosure by Crown Capital Securities, the customer alleges lack of proper due diligence, lack of suitability and overconcentration in regards to an investment in an alternative product.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven Junis (Junis), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Junis 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 September 15, 2021.

He client alleges had she been informed of the large tax implication and loss of dividend income she would not have sold her investments in March of 2020.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lynn Morris (Morris), currently associated with Planmember Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Morris 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 $200,000.00 on September 21, 2021.

Client alleges that they were denied market gains when the Firm liquidated her position in order to process a loan in 2016 and did not reinvest the funds once the loan was processed. They allege that the Firm and their representative Ms. Morris were negligent in their duties leading to the lack of reinvestment.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Claudia Ochoa Espejo (Ochoa Espejo), currently associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Ochoa Espejo 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 $119,310.57 on September 24, 2021.

Claimant alleges poor advice with respect to withdrawals from a non-qualified deferred variable annuity and subsequent purchase of a variable life insurance policy.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Petrucelli (Petrucelli), previously associated with Tobin & Company Securities LLC, has at least 4 disclosable events. These events include 4 customer complaints, alleging that Petrucelli 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 $1,500,000.00 on September 21, 2021.

Claimant alleges that representative made false and misleading statements in purportedly selling an unsuitable loan away from the firm.

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