Articles Posted in Reg BI

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kurt Rohrs (Rohrs), currently associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Rohrs 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 $158,000.00 on February 08, 2021.

Client, through his attorney, alleges that investment made was risk and unsuitable and not in line with his stated investment objectives.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Schwartz (Schwartz), previously associated with Joseph Gunnar & CO. LLC, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Schwartz recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on February 03, 2021.

Time frame: Unspecified. Claimants allege unsuitable investment.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven Luftschein (Luftschein), previously associated with Joseph Stone Capital L.l.c., has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Luftschein recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on February 03, 2021.

Time frame: unspecified. Claimants allege unsuitable investments.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker W. Parker (Parker), currently associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Parker 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 $2,526,000.00 on February 04, 2021.

Parker was a subject of the customer’s complaint against his member firm that asserted the following causes of action: breach of fiduciary duty; misrepresentation and non-disclosure; negligence and gross negligence; breach of contract and warranties; violation of Mississippi Securities Act; failure to supervise; and control person liability.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Hittner (Hittner), previously associated with Royal Alliance Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Hittner 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 February 03, 2021.

Claimants allege that Mr. Hittner recommended alternative investments that were unsuitable.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jason Hicklen (Hicklen), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Hicklen 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 $42,078.96 on February 03, 2021.

A participant in the plan alleges his contributions to his 401K (Transamerica Variable Annuity) were not properly allocated which resulted in loss of market appreciation.

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

FINRA BrokerCheck shows a settled customer complaint on February 02, 2021.

Executor/Successor Trustee verbally complained that the financial advisor recommended an inappropriate financial strategy including the purchase of an inappropriate financial product. (4/6/2020)

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gregory Long (Long), currently associated with International Assets Advisory, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Long 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 February 02, 2021.

Breach of fiduciary responsibility, breach of contract, failure to supervise

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

FINRA BrokerCheck shows a settled customer complaint on February 03, 2021.

The beneficiary alleges unauthorized trading in early 2021.

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

FINRA BrokerCheck shows a settled customer complaint on February 03, 2021.

Customer asserts claims for unsuitability, fraud, breach of contract and breach of fiduciary duty in connection with his investments.From 4/1/2014 to Present

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