Articles Posted in Reg BI

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eugene Heflin (Heflin), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Heflin 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 $23,000.00 on October 19, 2021.

Customer alleges that in March of 2020 the registered representative failed to follow instructions to purchase certain equities.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brenda Stone (Stone), previously associated with Allstate Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Stone 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 $7,000.00 on October 20, 2021.

Customer alleges that representative did not invest her monies into a growth fund after her account was transferred to a new custodian. Customer alleges she has lost between $7,000 and $10,000 in missed earnings as the money remained in a money market fund for the past 19 months. Activity period is April 2020 to present.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Abed Lulu (Lulu), previously associated with Worden Capital Management LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lulu 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 $49,000.00 on October 15, 2021.

Client alleges unsuitability, unauthorized trading for trading activity in 2014 and 2015

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andrew Corbman (Corbman), previously associated with Newbridge Securities Corporation, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Corbman 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 $240,000.00 on October 21, 2021.

Claimant alleges overconcentration, misrepresentation, and unsuitability related to the sale of REITs in 2014.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Davis (Davis), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Davis 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 $300,000.00 on October 21, 2021.

Client alleges financial advisor failed to follow her instructions to liquidate her account. Client further alleges financial advisor misrepresented potential tax implications of liquidating the account.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dean Cudworth (Cudworth), currently associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Cudworth 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 $11,402.00 on October 25, 2021.

The representative failed to invest the product properly and misrepresentation.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Edmund Murphy (Murphy), previously associated with Robert W. Baird & CO. Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Murphy recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on October 22, 2021.

The claimant alleges the FA recommended unsuitable investments that led to losses in her trust account. She seeks damages between $100,000-300,000.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Carlos Carrillo (Carrillo), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Carrillo 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 $17,486.30 on October 18, 2021.

Customer complaint alleges that advisor recommended the Allianz variable annuity even though his desire was to protect the initial investment/principal with only modest growth to compensate for inflation. Client stated he was not aware from the advisor of the buffer/floor feature of product and also he had a 20-day grace period to review the documentation after purchase.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Mckinney (Mckinney), previously associated with Cetera Advisors LLC, has at least 5 disclosable events. These events include 5 customer complaints, alleging that Mckinney 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 $1,000,000.00 on October 19, 2021.

Claimant alleges unsuitable investment recommendations.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Turley (Turley), currently associated with Independent Financial Group, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Turley 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 $76,700.00 on October 25, 2021.

Allege investment was not suitable

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