Articles Posted in Reg BI

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Kuehn (Kuehn), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Kuehn 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 $200,000.00 on February 16, 2024.

Claimant alleges their RR recommended unsuitable Oil and Gas investments.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Saied Zangenehpour (Zangenehpour), previously associated with Lincoln Financial Advisors Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Zangenehpour 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 16, 2024.

Claimant alleges the RR recommended an unsuitable Oil & Gas investment

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Randall Morris (Morris), previously associated with Proequities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Morris 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 $45,000.00 on February 20, 2024.

Claimants allege Mr. Morris made unsuitable recommendations for the purchase of two alternative investments.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Bussa (Bussa), currently associated with Osaic Wealth, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Bussa 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 16, 2024.

Claimant alleges their RR recommended an unsuitable Oil and Gas investment.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Amy Charlson (Charlson), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Charlson 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 $450,000.00 on February 20, 2024.

Claimants allege registered representative used incorrect information as the basis for her recommendation that the claimants could retire and calculate how much money the Claimants could withdraw monthly during retirement.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Katz (Katz), currently associated with Aegis Capital Corp., has at least one disclosable event. These events include one customer complaint, alleging that Katz 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 $358,162.96 on February 20, 2024.

Client alleged transactions in fixed income securities were not authorized and inappropriate that created losses in his accounts in 2023.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Studinger (Studinger), currently associated with Kestra Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Studinger 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 February 20, 2024.

Claimants allege the financial professional recommended the sale of an unsuitable investments.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Paul Volpe (Volpe), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Volpe 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 February 20, 2024.

Claimants allege Mr. Volpe recommended the sale of unsuitable investments.

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

FINRA BrokerCheck shows a pending customer complaint on February 16, 2024.

As per Raymond James & Assocaites filing, clients allege every transaction involving the purchase or sale of a security in their Raymond James accounts violated the Illinois Securities Law.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Craft (Craft), previously associated with Lincoln Financial Advisors Corporation, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Craft 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 February 16, 2024.

Claimant alleges the registered representative recommended an unsuitable oil and gas investment.

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