Articles Posted in Reg BI

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

FINRA BrokerCheck shows a settled customer complaint on May 11, 2021.

Client verbally alleged failure to follow instructions with respect to termination the advisory agreement in account – February 2021 to April 2021.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Guilford Nergard (Nergard), previously associated with San Blas Securities LLC, has at least 3 disclosable events. These events include 2 customer complaints, one regulatory event, alleging that Nergard 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 $37,011.47 on May 12, 2021.

Client alleged poor performance due to the management of accounts. Alleged activity dates 06/04/2013-11/06/2020

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

FINRA BrokerCheck shows a settled customer complaint on May 10, 2021.

Unsuitable Investments

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Guillermo Santiago (Santiago), currently associated with Nationwide Planning Associates INC., has at least one disclosable event. These events include one customer complaint, alleging that Santiago 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 $1,200,000.00 on May 14, 2021.

PERIOD 2004 TO JUL 2013. Alleges concentration, misrepresentation, fraud, breach of fiduciary duty, negligence, violations FINRA rules,PR and federal law.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Darrin Farrow (Farrow), previously associated with Triad Advisors, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Farrow 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 May 10, 2021.

Sale of unapproved investment during period of Royal Alliance Associates, Inc. registration is alleged.

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

FINRA BrokerCheck shows a settled customer complaint on May 11, 2021.

Customer alleges the rep did not fully disclose all the facts regarding suitability.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alfred Czerniewski (Czerniewski), currently associated with Osaic Wealth, INC., has at least 3 disclosable events. These events include 3 customer complaints, alleging that Czerniewski 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 $285,000.00 on May 13, 2021.

Customers allege the firm did not conduct adequate due diligence and the firm and representative did not fully disclose all material facts regarding the investment.

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

FINRA BrokerCheck shows a settled customer complaint on May 16, 2021.

Plaintiff alleges the representative recommended inappropriate investments and insurance products and that the fees charged for those investments and insurance products were not reasonable. Plaintiff also alleges an annuity beneficiary form was not properly processed.

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

FINRA BrokerCheck shows a final customer complaint on May 11, 2021.

Respondent Bonik failed to respond to FINRA request for information.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bradley Kurz (Kurz), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Kurz 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 $62,765.94 on May 17, 2021.

The client alleges the financial advisor allowed unauthorized distributions from a court ordered restricted account.

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