Articles Posted in Reg BI

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

FINRA BrokerCheck shows a pending customer complaint on September 10, 2025.

Time frame: Unspecified. Customers allege breach of fiduciary duty, unsuitable investments, material misrepresentations, material omissions, breach of FINRA rules and breach of contract on the part of Registered Representative in relation to the customers investments.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andrew Hess (Hess), currently associated with LPL Enterprise, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hess 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 $24,000.00 on September 01, 2025.

Customers allege that in December of 2016, representative recommended an investment strategy in systematic investment plans that was inappropriate for the customers’ investment objectives and risk tolerance.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sean Mccabe (Mccabe), currently associated with Network 1 Financial Securities INC., has at least one disclosable event. These events include one customer complaint, alleging that Mccabe 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 $522,500.00 on September 08, 2025.

Excessive Trading, Breach of Fiduciary Duty, Negligence, Unsuitability

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brittany Slater Gautreau (Slater Gautreau), previously associated with American Trust Investment Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Slater Gautreau 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 September 15, 2025.

Breach of contract; Breach of fiduciary duty; Professional negligence; Fraudulent concealment; Negligent misrepresentation. The complaint alleges that, around October 2024, the defendant provided advice regarding IRA distributions to fund a property purchase, resulting in unexpected taxes and penalties on a $253,000 distribution.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Scott Oliphant (Oliphant), currently associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Oliphant 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 $422,000.00 on June 10, 2025.

Sale of Hartman REIT, which is alleged to be a failed product. Claimants allege suitability, breach of contract, violations of standards of commercial honor and principles of trade, use of manipulative or fraudulent device, and respondeat superior.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Shopa (Shopa), currently associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Shopa 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 $2,200,000.00 on September 09, 2025.

Allegations include a substantial drop in portfolio value and unsuitable recommendation and sale of a variable annuity and REIT from 2014 to 2024

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Wright (Wright), currently associated with Realta Equities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Wright 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 $125,000.00 on August 28, 2025.

The claimant alleges unsuitable, illiquid, and high-risk alternative investments.

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

FINRA BrokerCheck shows a pending customer complaint on September 09, 2025.

Client alleges, inter alia, unsuitability with respect to FA’s recommendation to open a Liquidity Access Line for investment purposes – Apr 2024 – Aug 2024.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Sines (Sines), currently associated with Berthel, Fisher & Company Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Sines 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 $88,000.00 on September 15, 2025.

Client alleges they were sold two products that were not in their best interest. The sale of the products occurred at prior firms.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Vance (Vance), previously associated with Moloney Securities Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Vance 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 $130,000.00 on September 15, 2025.

Suitability/negligence. 2018-2021

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