Articles Posted in Reg BI

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Erik Teig (Teig), currently associated with Thrivent Investment Management INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Teig 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 $52,000.00  on April 03, 2020.

Customer alleged VUL purchased in August 2018 was not issued as requested.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Angel Barnes (Barnes), previously associated with PFS Investments INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Barnes 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 $40,000.00  on April 07, 2020.

Customer alleges that his purchase of mutual funds in 2017 was not suitable

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Hauser (Hauser), previously associated with Edward Jones, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Hauser 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 $25,270.00  on April 06, 2020.

Client alleges the liquidation of her variable annuity in 2019 was not suitable.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Barrett (Barrett), currently associated with J.P. Morgan Securities LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Barrett 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 $19,587.00  on April 06, 2020.

Client alleges misrepresentation regarding variable annuity investment. Activity dates 02/24/2020- 03/27/2020.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeff Kramer (Kramer), currently associated with Morgan Stanley, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Kramer 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 April 07, 2020.

Attorney alleged, inter alia, excessive trading with respect to investments in account – January 2018 thru December 2019

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

FINRA BrokerCheck shows a settled customer complaint on April 02, 2020.

The client alleges that the Financial Advisor failed to move to cash in their individual account as requested but rather moved them to a bond fund and that he placed trades on 3/12 not 3/9.

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

FINRA BrokerCheck shows a award / judgment customer complaint with a damage request of $500,000.00  on April 02, 2020.

Karen Boykin was a subject of the customers’ complaint against her member firms that asserted the following causes of action: breach of fiduciary duty, violation of Missouri’s Securities Act \\u00a7 409-5.501 et al, common law fraud, breach of contract, negligence/negligent misrepresentation/omission, unjust enrichment, and negligent supervision.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Krumrey (Krumrey), previously associated with Oppenheimer & CO. INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Krumrey 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 April 02, 2020.

Claimants allege claims for breach of fiduciary duty, negligence and breach of contract in connection with the management of their account.From 1/1/2016 – 12/31/2017

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

FINRA BrokerCheck shows a settled customer complaint on April 06, 2020.

Failure to supervise.\<char_lb_r>\, September 2015 to March 2020

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Carrie Lawlor (Lawlor), previously associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Lawlor recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on April 02, 2020.

The customer alleges unsuitable investment recommendations January 2020 until April 2020.

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