Articles Posted in Reg BI

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Adam Fritzsche (Fritzsche), previously associated with Ifs Securities, has at least one disclosable event. These events include one customer complaint, alleging that Fritzsche 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 $108,079.08 on October 20, 2020.

Customer alleges the following: that 2 of her signatures were falsified on investment documentation; that her liquid net worth, net worth, and annual income were misrepresented on investment paperwork; that copies of account documentation were not provided at her request; that the investment recommendation was unsuitable; and that the registered representative was not adequately supervised. Time period of claim: 9/25/12 – 10/20/20

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David White (White), currently associated with Cambridge Investment Research, INC., has at least one disclosable event. These events include one customer complaint, alleging that White 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 $80,686.00 on October 20, 2020.

Clients allege the FP failed to liquidate their accounts after receiving express instruction. The failure to liquidate the accounts allegedly resulted in losses to the clients.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Carter Mansbach (Mansbach), currently associated with Ceros Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Mansbach 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 October 19, 2020.

Misrepresentation, & suitability

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Sanders (Sanders), previously associated with Cabot Lodge Securities LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Sanders 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 October 20, 2020.

The claimant alleges the a breach of contract and warranties, violation of state securities statutes, breach of fiduciary duty, negligence and gross negligence, misrepresentation/omission, unjust enrichment, failure to supervise, common law and statutory claims and damages, vicarious and control personal liability.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eugene Yelverton (Yelverton), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Yelverton 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 October 19, 2020.

Customer alleges unsuitable alternative investment recommendation. Activity period:  12/2014 to 9/2020.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Drew Marchitello (Marchitello), previously associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Marchitello 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 $5,000.00 on October 20, 2020.

Client alleges misrepresentation regarding variable annuity investment. Activity dates 09/08/2020-09/08/2020.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Douglas Miller (Miller), previously associated with Silver Oak Securities, Incorporated, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Miller 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 $75,000.00 on October 20, 2020.

Customer allegations against Silver Oak Securities include negligence, unsuitable recommendations, negligent supervision and breach of fiduciary duty.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Damer (Damer), currently associated with Thurston, Springer, Miller, Herd & Titak, INC., has at least one disclosable event. These events include one customer complaint, alleging that Damer 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 October 20, 2020.

Per Sanctuary Securities’ filing, ‘Customer alleges alternative investments were unsuitable.’

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Campbell (Campbell), currently associated with Weild & CO., has at least one disclosable event. These events include one customer complaint, alleging that Campbell 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 $871,021.18 on October 16, 2020.

The plaintiff acting as the trustee of OneJet alleging excessive commissions.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Trewitt (Trewitt), previously associated with Vfg Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Trewitt 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 $4,000,000.00 on October 15, 2020.

Misrepresentation, fraud, investments in unsuitable alternative investments, and breach of fiduciary duty.

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