According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Pitman (Pitman), currently associated with Alexander Capital, L.p., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Pitman recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on July 23, 2020.
Suitability
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eric Harding (Harding), previously associated with United Planners’ Financial Services of America A Limited Partner, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Harding 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 $60,000.00 on July 22, 2020.
Mr. Harding failed to execute a sell order that resulted in loses to a Client account.
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Timothy Long (Long), currently associated with Cetera Wealth Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Long 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 $33,000.00 on July 28, 2020.
Client is concerned regarding investment performance, cost, and lack of liquidity regarding investments purchased in 2013.
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Hill (Hill), previously associated with Blackstone Advisory Partners L.p., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Hill recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on July 29, 2020.
The lawsuit concerns Kentucky Retirement Systems’ investment in a Blackstone-managed fund and alleges a variety of state law claims.
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Paul Haberek (Haberek), currently associated with Wells Fargo Clearing Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Haberek recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on July 27, 2020.
Client verbally complained that the financial advisor recommended inappropriate investments. (3/6/2017-7/27/2020).
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Bell (Bell), currently associated with Cetera Wealth Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Bell 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 $237,494.00 on July 27, 2020.
Client alleges investments were not suitable. Client further alleges over-concentration in investment.
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jerry Holcomb (Holcomb), previously associated with Wells Fargo Clearing Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Holcomb recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on July 27, 2020.
Attorney verbally demanded repayment of personal loan made by customer to Financial Advisor. (2/13/2013-7/27/2020)
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Wright (Wright), currently associated with Rockefeller Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Wright recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on July 29, 2020.
Starting in 2013, Claimant’s counsel alleges unsuitability of certain investments, and that such investments resulted in principal losses.
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nason Bouche (Bouche), currently associated with Morgan Stanley, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Bouche recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on July 31, 2020.
The customer alleges unauthorized trading on July 30, 2020.
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sean Mullen (Mullen), previously associated with Usaa Financial Advisors, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Mullen recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on July 29, 2020.
Due to competing beneficiaries’ claims, the Firm interpled funds from an account of deceased customer [REDACTED] to the Probate Court of Denton County, Texas. Decedent’s son [REDACTED] then counter-claimed that the Firm and Mr. Mullens either did not make a requested beneficiary change to the operative account, or failed to advise decedent that a change was needed because the listed TOD beneficiary had died.
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