Articles Posted in Reg BI

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

FINRA BrokerCheck shows a pending customer complaint on March 14, 2025.

The company is currently investigating this matter and will file an amendment to disclose the outcome.

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

FINRA BrokerCheck shows a pending customer complaint on March 14, 2025.

The customers allege that in 2019, the Registered Representative recommended and misrepresented unsuitable, high-risk, speculative and illiquid investments.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Aaron Davis (Davis), currently associated with Edward Jones, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Davis 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 $30,000,000.00 on March 17, 2025.

Claimant alleges concentrated positions in Retractable Technologies Inc. were mishandled relative to margin.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Juan Goytia (Goytia), previously associated with UBS Financial Services Incorporated of Puerto Rico, has at least one disclosable event. These events include one customer complaint, alleging that Goytia 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 $400,000.00 on March 14, 2025.

Time frame: 2010-Present\, \, Allegations: Claimants allege that the recommendation to invest in and hold Puerto Rico closed-end funds was unsuitable and that their UBS account was over-concentrated in these investments. They also allege that the risks of investing in and concentrating in PR investments were misrepresented.

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

FINRA BrokerCheck shows a pending customer complaint on March 13, 2025.

Failure to supervise

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ricardo Eboli Kodesh (Eboli Kodesh), currently associated with UBS Financial Services INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Eboli Kodesh 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 $400,000.00 on March 14, 2025.

Time frame: 2010-Present\, Allegations: Claimants allege that the recommendation to invest in and hold Puerto Rico closed-end funds was unsuitable and that their UBS account was over-concentrated in these investments. They also allege that the risks of investing in and concentrating in PR investments were misrepresented.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brett Vetensky (Vetensky), currently associated with Janney Montgomery Scott LLC, has at least one disclosable event. These events include one customer complaint, alleging that Vetensky 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 March 16, 2025.

Claimants alleges unsuitable investments were made from unauthorized trades in account.

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

FINRA BrokerCheck shows a pending customer complaint on March 14, 2025.

The claimants allege that from 2012 through 2022, CrowdStreet, Inc.’s operation of an online marketplace constituted operating as an unregistered broker-dealer, and that as CIO of CrowdStreet, Inc., Mr. Formigle was a ‘control person’ and he directly or indirectly controlled CrowdStreet, Inc. during that period.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Garity (Garity), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Garity 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 $400,000.00 on March 14, 2025.

Time frame: 2010-Present\, Allegations: Claimants allege that the recommendation to invest in and hold Puerto Rico closed-end funds was unsuitable and that their UBS account was over-concentrated in these investments. They also allege that the risks of investing in and concentrating in PR investments were misrepresented.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brett Hartvigson (Hartvigson), previously associated with Independent Financial Group, LLC, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Hartvigson 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 $499,000.00 on March 13, 2025.

Alleges investments were not suitable

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