Articles Posted in Reg BI

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jordan Micklow (Micklow), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Micklow 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 $15,000.00 on February 08, 2022.

The client alleges the financial advisor misrepresented tax implications on withdrawals taken from a variable annuity.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Drake Beck (Beck), currently associated with Charles Schwab & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Beck 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 $17,000.00 on February 15, 2022.

The client alleges the representative did not explain the cost associated with selling bonds in a managed account.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joel Flaningan (Flaningan), previously associated with Nylife Securities LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Flaningan recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on February 11, 2022.

Plaintiff alleges that in or about June 2017,  she was misled into investing $97,000.00 in an unregistered security in the form of  a PRMH Lenders Fund II, LLC. Promissory Note. Plaintiffs seek actual damages, interest,  attorney’s fees and costs.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andrew Topka (Topka), previously associated with Kalos Capital, INC., has at least one disclosable event. These events include one customer complaint, alleging that Topka 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 $297,500.00 on February 08, 2022.

Sale of unsuitible securities, ommission of material fact, breach of fiduciary duty, failure to supervise,

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Shane Boehm (Boehm), currently associated with Raymond James Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Boehm 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 $1,500,000.00 on February 10, 2022.

Claimant alleges unsuitable investment recommendations that resulted in losses

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Corey White (White), previously associated with Western International Securities, 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 $16,440,221.00 on February 16, 2022.

Failure to Supervise

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Lawson (Lawson), previously associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lawson 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 $15,781.21 on February 14, 2022.

Customer alleges that he was misled regarding the surrender period and charges related to variable annuity purchased in January 2016.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kenneth Beber (Beber), currently associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Beber 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 February 14, 2022.

Alleges investment was not in line with client’s stated objectives.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Karen Chung (Chung), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Chung 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 $16,440,221.00 on February 16, 2022.

Failure to Supervise

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kendall Groom (Groom), previously associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Groom 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 $90,000.00 on February 14, 2022.

Client alleges their registered representative made unsuitable recommendations.

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