Articles Posted in Reg BI

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nancy Martinez (Martinez), currently associated with Cuso Financial Services, L.p., has at least one disclosable event. These events include one customer complaint, alleging that Martinez 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 January 11, 2024.

Misrepresentation

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Lindemann (Lindemann), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lindemann 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 17, 2024.

Failure to follow instructions / March 22, 2023 – December 26, 2023.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jana Thielges (Thielges), previously associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Thielges 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 $6,355.08 on January 12, 2024.

Client alleges the Financial Advisor did not exercise his stock election to trade shares of VMW for share of AVGO. Client alleges they should have received fifteen (15) shares stock plus an additional $8,522.88. Instead, the client alleges that all that was received was $16,815.00 and no stock, resulting in an estimated loss of $6,355.08.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Matteoni (Matteoni), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Matteoni 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 January 11, 2024.

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 Scott Hume (Hume), currently associated with Moloney Securities Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Hume 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 $135,000.00 on January 11, 2024.

Suitability/negligence. 2020

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

FINRA BrokerCheck shows a settled customer complaint on January 16, 2024.

Claimant alleges REIT purchased was unsuitable.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Peter Rhee (Rhee), currently associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Rhee 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 $100,000.01 on January 16, 2024.

Claimant generally alleges suitability, failure to supervise, and negligence.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Janet Doherty (Doherty), currently associated with Vanderbilt Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Doherty 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 $5,000.00 on January 11, 2024.

Customer alleges unauthorized transfer of funds from fixed annuities to a variable annuity.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Dewitt (Dewitt), currently associated with Ausdal Financial Partners, INC., has at least one disclosable event. These events include one customer complaint, alleging that Dewitt 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 January 18, 2024.

Unsuitable investment; Misleading recommendation; Negligent due diligence

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Schrieber (Schrieber), currently associated with Robert W. Baird & CO. Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Schrieber 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 January 13, 2024.

Client Alleges the stock the FA recommended was unsuitable for her.

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