Articles Posted in Reg BI

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Hanna Grichanik (Grichanik), currently associated with Northwestern Mutual Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Grichanik 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 William Simmermon (Simmermon), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Simmermon recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on November 21, 2023.

Claimant alleges REIT purchased was unsuitable.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brandon Spano (Spano), previously associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Spano 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 $110,000.00 on November 21, 2023.

Clients allege that RR Spano misappropriated $110,00.00 entrusted to him for investing.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jason La Vigne (La Vigne), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that La Vigne 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 $203,000.00 on November 20, 2023.

The Claimants allege that the financial professional sold them alternative investments that were unsuitable.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Yong Chang (Chang), currently associated with Independent Financial Group, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Chang 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 $45,000.00 on November 20, 2023.

Alleges product was not suitable and was not in line with claimant’s investment objectives and risk tolerance.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Elicia Fultz (Fultz), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Fultz 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 $48,263.00 on November 17, 2023.

The client alleges there were unauthorized withdrawals from his IRA account which were clearly against his instructions. The client further alleges the withdrawals had no benefit and he incurred substantial tax liability. Time Frame: April 1, 2021 to April 7, 2021

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

FINRA BrokerCheck shows a settled customer complaint on November 20, 2023.

The client alleges she informed the financial advisor that she did not want to lose any money, but was not provided money market as an investment option. The client alleges because she was not provided with all the options available to her, she should be reimbursed for any losses incurred.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Reddick (Reddick), previously associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Reddick 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 $35,000.00 on November 20, 2023.

Alleges investment was not in line with client’s stated investment objectives and risk tolerance.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Grano (Grano), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Grano 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 $370,000.00 on November 17, 2023.

Claimants allege suitability, misrepresentation, and negligence

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

FINRA BrokerCheck shows a settled customer complaint on November 21, 2023.

Claimant alleges REIT purchased was unsuitable.

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