Articles Posted in Reg BI

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brent Prather (Prather), currently associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Prather 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 $18,484.40 on February 17, 2022.

The complainant alleges that the variable annuity that he purchased in 2020 was misrepresented, stating that the rep confirmed both before and after the sale that the performance rate on his policy anniversary date would be 11.25%, however, it was only 4.5%, causing his account to receive $18,484.40 less than was promised.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Justin Limmer (Limmer), previously associated with M. S. Howells & CO., has at least one disclosable event. These events include one customer complaint, alleging that Limmer 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 $60,265.77 on February 19, 2022.

ON FEBRUARY 19, 2022, [REDACTED] COMPLAINED THAT HIS ACCOUNTS HAD SIGNIFICANTLY DECLINED IN VALUE. [REDACTED] HAD A CONSERVATIVE INVESTMENT OBJECTIVE, LOW RISK TOLERANCE AND LIMITED INVESTMENT KNOWLEDGE. THE REGISTERED REPRESENTATIVE, MR. LIMMER, INVESTED THE CLIENT’S ACCOUNTS IN SMAs WITH AN UNDERLYING TACTICAL BOND FUND THAT DECLINED IN VALUE DUE TO MARKET VOLATILITY. THE INVESTMENT ADVISORY FIRM HE WAS ASSOCIATED WITH MADE A BUSINESS DECISION TO COMPENSATE THE CLIENT $60265.77 FOR HIS LOSSES RATHER THAN INCUR EXTENSIVE LITIGATION COSTS.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jason Jodway (Jodway), previously associated with Allstate Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Jodway 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 $100,000.00 on February 24, 2022.

Failure to perform due diligence, breach of fiduciary duty, and otherwise negligent in recommending an investment in an oil and gas private placement:  the Explore America Income fund.

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

FINRA BrokerCheck shows a settled customer complaint on February 24, 2022.

Claimant, a former client and former advisor, alleges unauthorized transactions in one security and commissions owed per agreement. Activity dates 2/16 – 3-21.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Crossan (Crossan), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Crossan 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 17, 2022.

Claimant alleges that she was sold a series of annuities, where the income was used to fund a whole life insurance policy and that this investment strategy was clearly entered for purposes of commissions. Claimant also alleges that Wells Fargo’s actions constitute a breach of fiduciary duty, obtaining excessive commissions in an unsuitable whole life insurance recommendation which constitutes gross negligence.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bradley Kaiser (Kaiser), currently associated with Hamilton Grant LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kaiser 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.

Control Person Liability; Failure to Supervise

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Olander (Olander), previously associated with Dougherty & Company LLC, has at least one disclosable event. These events include one customer complaint, alleging that Olander 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 $225,000.00 on February 21, 2022.

Trustee alleges that the former registered representative made unsuitable investments for the account.

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

FINRA BrokerCheck shows a settled customer complaint on February 23, 2022.

Financial Advisor made unsuitable recommendations

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Donald Bizub (Bizub), currently associated with Hamilton Grant LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bizub 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.

Control Person Liability; Failure to Supervise

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kathleen Bradley (Bradley), previously associated with Western International Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Bradley 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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