Articles Posted in Reg BI

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

FINRA BrokerCheck shows a settled customer complaint on November 16, 2023.

The Statement of Claim alleges that the alternative investments recommended to claimants were unsuitable for them in light of their age, need for liquidity, and risk tolerance. It also claims that the investments were misrepresented to the claimants causing them significant damages. The investments in question were made from January, 2015 to February, 2015.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Pitch (Pitch), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Pitch 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 $1,500,000.00 on November 15, 2023.

Alleged erroneous statement by financial professional that life insurance policy purchased in 2002 was paid in full as of October 2011 and no further premiums were due, when premium payment was required in November 2022 that could not be paid and claimant was required to sell the policy resulting in an alleged substantial loss.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Jaeger (Jaeger), currently associated with Cambridge Investment Research, INC., has at least one disclosable event. These events include one customer complaint, alleging that Jaeger 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 $25,000.00 on November 17, 2023.

Claimants allege that RR made an unsuitable recommendation for investment in a REIT.

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

FINRA BrokerCheck shows a settled customer complaint on November 17, 2023.

CLIENT ALLEGES, INTER ALIA, THAT PURCHASE OF VARIABLE ANNUITY IN 2022 WAS UNSUITABLE

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Simon (Simon), currently associated with Western International Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Simon 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 November 16, 2023.

Misrepresentation

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Larry Tolbert (Tolbert), currently associated with Lion Street Financial, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Tolbert 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 $95,000.00 on November 16, 2023.

Claimant alleges various claims against the firm and the registered representative in connection with the recommendation, on or about December 9, 2021, of an alternative investment

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Romeo (Romeo), currently associated with Rnr Securities, L.l.c., has at least one disclosable event. These events include one customer complaint, alleging that Romeo 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 $115,000.00 on November 14, 2023.

Claimant asserts various causes of action relating to securities transactions and asserts damages of approximately $115,000. The respondents deny any allegations of wrongdoing and will prove before FINRA that the positions at issue in the claim were never recommended to Claimant, that she never held an account that purchased the positions at issue.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jack Yvars (Yvars), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Yvars 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 $104,624.00 on November 20, 2023.

Clients allege that certain mutual fund recommendations were not in keeping with their investment needs and objectives.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joshua Puccini (Puccini), currently associated with Northwestern Mutual Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Puccini 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 $100,000.00 on November 20, 2023.

Complainant alleges that on the advice of her representatives, she sold securities at her E*Trade account resulting in tax implications.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Weber (Weber), previously associated with Triad Advisors, INC., has at least one disclosable event. These events include one customer complaint, alleging that Weber 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 November 20, 2023.

The Claimant alleges that the financial professional sold an alternative investment that was unsuitable.

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