Articles Posted in Reg BI

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dee Rippetoe (Rippetoe), previously associated with Sigma Financial Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Rippetoe 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 $300,000.00 on September 23, 2020.

Statement of claim filed by Claimant’s Trustee alleges negligence, breach of fiduciary duty, breach of contract, material misrepresentations and omissions and failure to supervise. The investments were sold at a previous firm therefore the name of he firm and date is unknown.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Harris (Harris), previously associated with Sigma Financial Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Harris 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 $300,000.00 on September 23, 2020.

Statement of claim filed by Claimant’s Trustee alleges negligence, breach of fiduciary duty, breach of contract, material misrepresentations and omissions and failure to supervise. The investments were sold at a previous firm therefore the name of he firm and date is unknown.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Migdale (Migdale), currently associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Migdale 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 $30,000.00 on September 21, 2020.

Claimant alleges unsuitable investment recommendations.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Morey Perlmutter (Perlmutter), currently associated with Wells Fargo Advisors Financial Network, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Perlmutter 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 $13,511.00 on September 21, 2020.

Time Frame:  December 26, 2019\<char_lb_r>\, \<char_lb_r>\, What were the allegations against the individual? \<char_lb_r>\, . The client alleges a failure to funding his DAF prior to year-end 2019

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Pasquariello (Pasquariello), previously associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Pasquariello 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 $13,511.00 on September 21, 2020.

Time Frame:  December 26, 2019\<char_lb_r>\, \<char_lb_r>\, What were the allegations against the individual? \<char_lb_r>\, . The client alleges a failure to funding his DAF prior to year-end 2019

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Angela Mccarthy (Mccarthy), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mccarthy 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 $79,309.00 on September 18, 2020.

McCarthy was a subject of the customers’ complaint against her member firm and other named respondents that asserted the following causes of action: negligence and gross negligence; misrepresentation; omission of material fact; failure to supervise; breach of fiduciary duty; and breach of contract.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Charles Krsek (Krsek), previously associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Krsek 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 $35,000.00 on September 21, 2020.

Customer alleges unsuitable investment recommendations.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Riggenbach (Riggenbach), previously associated with Woodbury Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Riggenbach 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 $262,000.00 on September 23, 2020.

Customers allege the representative made recommendations that did not meet the client’s needs and allegedly caused losses.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Goetz (Goetz), previously associated with Network 1 Financial Securities INC., has at least one disclosable event. These events include one customer complaint, alleging that Goetz 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 $420,000.00 on September 23, 2020.

Fraud, Breach of Fiduciary Duty, Suitability, Failure to Supervise

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

FINRA BrokerCheck shows a settled customer complaint on September 23, 2020.

Plaintiff alleges that the Defendant, who is also successor trustee, failed to properly administer the trust.

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