Articles Posted in Reg BI

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Houser (Houser), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Houser 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 $244,000.00 on February 03, 2022.

Claimants allege that while they were at LPL, they were recommended the following unsuitable, speculative, high-risk investments: FSKR, FSEP, Cole Credit Property Trust IV and CIM Real Estate Finance Trust.

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

FINRA BrokerCheck shows a settled customer complaint on February 08, 2022.

Customer alleged unsuitable recommendations.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Hugh Dunn (Dunn), currently associated with the Rockwell Financial Group, INC., has at least one disclosable event. These events include one customer complaint, alleging that Dunn 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 $325,000.00 on February 08, 2022.

Alleges that Hugh Dunn charged inappropriate trades to speculative, aggressive short term growth portfolio. 2010-2021

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Pacetti (Pacetti), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Pacetti 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 February 09, 2022.

Time Frame: July 08, 2021 to February 09, 2022\, \, Verbal allegations that the Financial Advisor recommended an investment that after purchase, did not meet the client’s expressed criteria which was ‘not to lose any money’. Additional allegations made that the FA stated this was a risk-free investment

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Hong Mcgill (Mcgill), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mcgill 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 $25,117.78 on March 23, 2022.

Customer complaint regarding poor recommendation of short term bond product and losses occurred.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Cynthia Cowden (Cowden), previously associated with Npb Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Cowden 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 February 01, 2022.

Breach of Contract and Warranties, Promissory Estoppel. Violation of Securities Statutes, Brach of Fiduciary Duty; Claims under Common Law (intentional and negligent misrepresentation of material fact), Vicarious Liability

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Scott Syde (Syde), previously associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Syde 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 March 23, 2022.

Allege that the representative was managing money in a Privately Managed Account that is not able to be located and, presumably was taken by the (now deceased) representative in question.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bobby Payne (Payne), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Payne 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 March 22, 2022.

Customer alleges that representative did not act in her best interest when recommending long term variable annuity product.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dennis Fearing (Fearing), previously associated with Berthel, Fisher & Company Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Fearing 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 March 23, 2022.

The clients allege between 2014 – 2018 the investments recommended to them and purchased by them were not suitable, were inconsistent with their objectives and directives, and were misrepresented by the representative. They further allege their account was over concentrated in privately traded products. Additionally they allege the firm failed to perform appropriate due diligence and failed to supervise the activities of the representative.

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

FINRA BrokerCheck shows a settled customer complaint on March 24, 2022.

The customer alleges unauthorized trading on March 23, 2020.

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