Articles Posted in Reg BI

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

FINRA BrokerCheck shows a settled customer complaint on January 29, 2022.

The complainant alleges that his registered representative, on or about December 2021, transferred the wrong amount of money, out of the wrong variable annuity, resulting in a loss.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Shawn Nelson (Nelson), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Nelson 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 $24,049.00 on January 26, 2022.

Customer alleged that instruction to liquidate account was not immediately followed, resulting in value of account after full liquidation being lower than it should have been if it had been immediately liquidated. Customer requested reimbursement for the difference in value. Activity period – 12/17/21 to 1/26/22

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

FINRA BrokerCheck shows a settled customer complaint on February 01, 2022.

PARTICIPANTS in a 401K Plan allege that between 2009 and 2022, representative recommended costly investments to the detriment of the 401K Plan. Participants also allege that representative was not registered in the proper state to provide investment advice to the 401K Plan.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Chandler (Chandler), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Chandler 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 27, 2022.

Poor recommendation and over-concentration of an illiquid investment without conducting reasonable due diligence

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Carbiener (Carbiener), currently associated with Steward Partners Investment Solutions, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Carbiener 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 $7,580.00 on January 29, 2022.

Client alleges the Advisor failed to execute a mutual fund exchange upon request. The Firm found no evidentiary support. While denying the allegations, the Firm decided to settle the matter.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Polheber (Polheber), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Polheber 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 31, 2022.

Misrepresentation and Omission, Breach of Fiduciary Duty

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Bushkin (Bushkin), currently associated with Cetera Wealth Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bushkin 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 31, 2022.

Customers alleged the representative determined in what to invest and did not obtain their approval prior to investing.

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

FINRA BrokerCheck shows a settled customer complaint on February 07, 2022.

Customer alleges the Fixed Annuity policy she purchased in February 2021 contains a longer surrender charge period than was originally understood and the information represented on her Client Profile is not accurate.

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

FINRA BrokerCheck shows a settled customer complaint on March 22, 2022.

The clients allege it was not in their best interest when the financial advisor had them sell a CD with penalties and move to a fixed income/equity portfolio.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mario Renteria, (Renteria,), previously associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Renteria, 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 $10,000.00 on February 01, 2022.

The client alleges the financial advisor failed to follow instructions and her account lost value.

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