Articles Posted in Reg BI

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dustin Hall (Hall), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hall 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 March 29, 2023.

Customer alleges misrepresentation regarding bond mutual fund. Activity dates 12/29/22 – 12/29/22.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Hooks (Hooks), previously associated with Cambridge Investment Research, INC., has at least one disclosable event. These events include one customer complaint, alleging that Hooks 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 $750,000.00 on March 31, 2023.

Claimant alleges that the representative recommended an unsuitable investment strategy that included illiquid and complex insurance products.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Ridenour (Ridenour), previously associated with Bok Financial Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Ridenour 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 $21,000.00 on March 29, 2023.

Customer verbally complained that the financial advisor represented that her full investment would be returned after 5 years. However, the issuer declared bankruptcy and the invested funds were lost. (12/12/2014 – 3/29/2023)

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

FINRA BrokerCheck shows a settled customer complaint on March 28, 2023.

Customer alleges that in March 2021, she was misled into purchasing a variable annuity and a variable universal life policy which are inappropriate for her needs.

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

FINRA BrokerCheck shows a settled customer complaint on March 30, 2023.

Customer is alleging Breach of Fiduciary Duty.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Anthony Romano (Romano), currently associated with A.g.p. / Alliance Global Partners, has at least one disclosable event. These events include one customer complaint, alleging that Romano 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 $100,000.00 on March 30, 2023.

Unsuitable investments

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

FINRA BrokerCheck shows a settled customer complaint on March 31, 2023.

Claimants allege they were recommended unsuitable investments.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Mayes (Mayes), currently associated with Alexander Capital, L.p., has at least one disclosable event. These events include one customer complaint, alleging that Mayes 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 $100,000.00 on March 28, 2023.

Unsuitability; Misrepresentation

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Oneill (Oneill), currently associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Oneill 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 March 30, 2023.

Misrepresentation

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gregory Iglow (Iglow), currently associated with Oppenheimer & CO. INC., has at least one disclosable event. These events include one customer complaint, alleging that Iglow 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 $231,826.00 on March 29, 2023.

Claimants allege Negligence/Unsuitability, Violations of California Securities Law, Violations of FINRA Rules & Federal Securities Laws, Breach of Contract, Negligent Supervision, Respondent Superior, and Breach of Contract based on misrepresentations and omissions in connection with purchases of Capital Trust Agency Florida Senior Living Bonds in 2019 and 2020

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