Articles Posted in Reg BI

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Edmund Swain (Swain), previously associated with Stifel, Nicolaus & Company, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Swain 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 December 15, 2021.

Claimant allege breach of contract, violations of State Securities Statutes and claims under common law.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Francis Gemino (Gemino), currently associated with Henley & Company LLC, has at least one disclosable event. These events include one customer complaint, alleging that Gemino 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 December 16, 2021.

Customer alleges Firm failed to provide reasonable, adequate and meaningful supervision over Firm’s branch office, allowing its registered representative, to carry out a Ponzi scheme to defraud and misappropriate approximately$1,000,000.00.

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

FINRA BrokerCheck shows a settled customer complaint on December 22, 2021.

The client alleged unauthorized trading in his account in September 2021.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gerald Moneypenny (Moneypenny), previously associated with Crown Capital Securities, L.p., has at least one disclosable event. These events include one customer complaint, alleging that Moneypenny 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 December 23, 2021.

Claimant’s allegations include but are not limited to, making unsuitable recommendations, negligence, misrepresentation and omission of material facts, and breach of fiduciary duty with regard to the sale of alternative investments. Time period of allegations is November 2007-February 2018.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sean Kemery (Kemery), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kemery 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 $8,400.00 on December 22, 2021.

The client alleges an unauthorized trade was placed to fulfill his RMD.

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

FINRA BrokerCheck shows a pending customer complaint on December 22, 2021.

The complainant alleges that the registered representative allowed his funds to be invested in a high risk fund, with no liquidity, on or about June 2017.

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

FINRA BrokerCheck shows a settled customer complaint on December 27, 2021.

The customer alleges unsuitable investment recommendations in October of 2021.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Kelts (Kelts), previously associated with First Allied Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Kelts 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 $30,001.00 on December 20, 2021.

Claimant alleges they were recommended unsuitable investments.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Brown (Brown), previously associated with National Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Brown 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 $50,000.00 on December 23, 2021.

Breach of fiduciary duty. Negligence.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eric Weschke (Weschke), previously associated with Kalos Capital, INC., has at least one disclosable event. These events include one customer complaint, alleging that Weschke 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 $535,000.00 on December 26, 2021.

Negligence, breach of fiduciary, breach of contract, fraud, breach of securities regulatory requirements, and failure to supervise

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