Articles Posted in Reg BI

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Meyers (Meyers), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Meyers 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 $100,000.01 on June 10, 2025.

Claimant alleges representative recommended unsuitable investments.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Genzardi (Genzardi), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Genzardi 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 $5,000,000.00 on June 13, 2025.

Client’s attorney alleged, inter alia, that the recommendation to invest in a preferred stock was not in their best interest  2021

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joe Hall (Hall), previously associated with Cambridge Investment Research, INC., 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 pending customer complaint with a damage request of $50,000.00 on June 11, 2025.

The claimant alleged the representative, who was assigned to their account in 2018, recommended that they continue to hold their non-traded real estate investment trust they purchased through their prior representative in June 2015. The claimant alleges the representative told them they would get their money back in two years. They allege the advice was unsuitable.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Olinger (Olinger), previously associated with Valmark Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Olinger 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 $1,000,000.00 on June 15, 2025.

The complaint alleges that Koss Olinger acted as an investment advisor to [REDACTED] and her trust from 2008 through 2025. William David Olinger II is named as a Control Defendant associated with Koss Olinger. A series of investments and loan guarantees made by [REDACTED] during this time are the sources of the allegations.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Caleb Brasel (Brasel), currently associated with Fidelity Brokerage Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Brasel 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 $17,000.00 on June 16, 2025.

Customer alleged that the registered representative made an unsuitable recommendation to establish a managed account .

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Hedgspeth (Hedgspeth), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Hedgspeth 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 $14,435.00 on June 20, 2025.

Customer alleges that registered representative liquidated assets without customer authorization and failed to disclose the corresponding tax implications.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alex Johnson (Johnson), currently associated with Piper Sandler & CO., has at least one disclosable event. These events include one customer complaint, alleging that Johnson 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 $9,100,000.00 on June 18, 2025.

The claim alleges that an error occurred in June 2023 leading to the sale of shares that were not fully vested and therefore subject to restrictions on transfer. The stock price subsequently increased. The customer asserts that he would have been able to sell the shares at the higher price if he had not sold previously.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Youssef Zohny (Zohny), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Zohny 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 $4,500,000.00 on June 17, 2025.

Claimants allege, inter alia, that the investment strategy implemented in their managed accounts was not what they had agreed to when they had discussed their investment goals and asset allocation June 2024 – April 2025

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Larson (Larson), previously associated with Arete Wealth Management, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Larson 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 $800,000.00 on June 23, 2025.

Clients allege registered representative sold an unsuitable investment.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Spohn (Spohn), currently associated with Hilltop Securities INC., has at least one disclosable event. These events include one customer complaint, alleging that Spohn 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 $44,961.27 on June 23, 2025.

Claimant alleges misrepresentation with respect to the solicitation of a Collateral Mortgage Obligation.

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