Articles Posted in Reg BI

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Luis Larios (Larios), previously associated with Suntrust Investment Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Larios 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 $500,000.00 on April 29, 2024.

Clients allege unsuitable recommendations and misrepresentations regarding investments in Northstar fixed annuities in May 2014.

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

FINRA BrokerCheck shows a pending customer complaint on May 02, 2024.

Customer alleges that an investment made in 2014 was unsuitable for the customer’s investment objectives and risk tolerance.

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

FINRA BrokerCheck shows a pending customer complaint on May 02, 2024.

Customers allege that investments made in 2014 were unsuitable for the customers’ investment objectives and risk tolerance.

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

FINRA BrokerCheck shows a pending customer complaint on May 02, 2024.

Customer alleges that an investment made in 2013 was\, unsuitable for the customer’s investment objectives and risk tolerance.

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

FINRA BrokerCheck shows a pending customer complaint on May 02, 2024.

Customer alleges that an investment made in 2014 was unsuitable for the customer’s investment objectives and risk tolerance

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Randy Birkinbine (Birkinbine), currently associated with Ausdal Financial Partners, INC., has at least 3 disclosable events. These events include 3 customer complaints, alleging that Birkinbine 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 $500,000.00 on May 01, 2024.

Allegations include Suitability, Due Diligence, Violation of Reg BI and over concentration of Alternative Investments purchases between 2013 and 2017, and small additional investments in a UIT in 2021.

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

FINRA BrokerCheck shows a pending customer complaint on May 02, 2024.

Customer alleges that an investment made in 2013 was unsuitable for the customer’s investment objectives and risk tolerance.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mitchell Pindus (Pindus), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Pindus 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 30, 2024.

Claimant alleges the Financial Advisor (FA) made concentrated speculative investment recommendations without adequately disclosing the risks of the recommendations.

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

FINRA BrokerCheck shows a pending customer complaint on May 02, 2024.

Customer alleges that investments made in 2013-2014 were unsuitable for the customer’s investment objectives and risk tolerance.

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

FINRA BrokerCheck shows a pending customer complaint on May 02, 2024.

Customer alleges that an investment made in 2014 was unsuitable for the customer’s investment objectives and risk tolerance.

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