Articles Posted in Reg BI

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Monica Osborne (Osborne), previously associated with Avantax Investment Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Osborne 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 April 16, 2024.

Customer alleged the representative recommended an unsuitable investment.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Parascandola (Parascandola), previously associated with Pruco Securities, LLC., has at least one disclosable event. These events include one customer complaint, alleging that Parascandola 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 $11,120.06 on April 18, 2024.

Customer alleges that the rep did not fully disclose all the facts regarding unauthorized transactions related to her accounts and that the Rep opened a GoFundme account on her behalf but she did not receive all of the funds that were raised.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gregory Mcleod (Mcleod), currently associated with Newbridge Securities Corporation, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Mcleod 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 April 15, 2024.

Breach of fiduciary duty, negligence and reg bi.

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

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

Claimants alleged that the respondent, through it’s agent recommended unsuitable investments and made untrue statements of material fact.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Blake (Blake), previously associated with Ameriprise Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Blake 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 $25,000.00 on April 16, 2024.

Customer alleged the representative recommended an unsuitable investment.

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

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

Claimants alleged that the respondent, through its agent, recommended unsuitable investments and made untrue statements of material fact.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Donna Seymour (Seymour), currently associated with Centaurus Financial, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Seymour 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 April 18, 2024.

In early 2021, the customer alleges that the Registered Representative recommended an unsuitable, high-risk, and illiquid investment and breached her fiduciary duty.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Donald Wallace (Wallace), previously associated with D.h. Hill Securities, Lllp, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Wallace 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 $100,001.00 on April 16, 2024.

Customer was a client beginning March 2019. Claim alleges unsuitable recommendation, negligence, and breach of contract.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Murray Petersen (Petersen), previously associated with Ameriprise Financial Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Petersen 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 $99,999.00 on April 15, 2024.

Claimant alleges fraud and breach of duty related to the sale of diamonds representative sold to claimant via an outside business activity.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Mckee (Mckee), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mckee 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 $20,000.00 on April 18, 2024.

Claimant alleges unsuitable recommendation and sale of alternative investment.

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