Articles Posted in Reg BI

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Blake Crousore (Crousore), currently associated with Northwestern Mutual Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Crousore 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 $5,000.00 on January 04, 2022.

Customer alleges that in or around September 2021, he instructed the Representative to purchase securities in a brokerage account, but instead, the Representative made unauthorized trades in a managed investment advisory account, which the customer alleges he did not authorize to be opened. The customer also alleges that the Representative misled him about executing the trades in a brokerage account while the funds remained in the managed investment advisory account.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Danton Troyer (Troyer), previously associated with Private Client Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Troyer 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 $35,000.00 on January 03, 2022.

Claimant alleges that in 2014, representative made an unsuitable recommendation that he invest in FS Energy and Power Fund which was not appropriate for his investment objectives, and that he suffered losses from the investment.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gerald Moneypenny (Moneypenny), previously associated with Crown Capital Securities, L.p., has at least one disclosable event. These events include one customer complaint, alleging that Moneypenny 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 $50,000.00 on December 23, 2021.

Claimant’s allegations include but are not limited to, making unsuitable recommendations, negligence, misrepresentation and omission of material facts, and breach of fiduciary duty with regard to the sale of alternative investments. Time period of allegations is November 2007-February 2018.

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

FINRA BrokerCheck shows a settled customer complaint on January 04, 2022.

Customer alleges vanguard invested all the cash from her roth ira instead of the agreed upon amounts per the invesment plan and as a result of this error stock shares were erroneously sold. The activities occurred between June 6, 2021 through June 23, 2021.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Peter Mirenda (Mirenda), currently associated with Vcs Venture Securities, has at least one disclosable event. These events include one customer complaint, alleging that Mirenda 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 $1,500,000.00 on January 03, 2022.

Alleged excessive, unsuitable and unauthorized trades.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Adam Maggio (Maggio), currently associated with Vcs Venture Securities / Joseph Stone Capital L.l.c., has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Maggio 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 $2,087,663.24 on January 03, 2022.

Churning, negligence and unsuitability, failure to supervise, unauthorized trading, breach of fiduciary duty, breach of contract, unjust enrichment, negligent misrepresentation and omissions, lost opportunity damages, and punitive damages.

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

FINRA BrokerCheck shows a settled customer complaint on December 27, 2021.

The customer alleges unsuitable investment recommendations in October of 2021.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ernest Collyer (Collyer), previously associated with Royal Alliance Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Collyer 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 December 31, 2021.

Individual other than, but associated with, customer alleges that representative failed to follow customer’s instructions to change beneficiary on retirement account.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Brown (Brown), previously associated with National Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Brown 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 $50,000.00 on December 23, 2021.

Breach of fiduciary duty. Negligence.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eric Weschke (Weschke), previously associated with Kalos Capital, INC., has at least one disclosable event. These events include one customer complaint, alleging that Weschke 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 $535,000.00 on December 26, 2021.

Negligence, breach of fiduciary, breach of contract, fraud, breach of securities regulatory requirements, and failure to supervise

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