Articles Posted in Reg BI

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

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

Time Frame: August 1st 2006 – April 29th 2024\, What were the allegations against the individual ? The client alleges he was overcharged on fees as he was told 1 percent but was charged 1.5 percent and is requesting restitution.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Seltzer (Seltzer), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Seltzer 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 Thomas Koscal (Koscal), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Koscal 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 an investment made in 2014 was 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 David Kujawa (Kujawa), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kujawa 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 Nelisha Firestone (Firestone), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Firestone 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 an investment made in 2014 was 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 Michael Hebert (Hebert), currently associated with Commonwealth Financial Network, has at least one disclosable event. These events include one customer complaint, alleging that Hebert 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 Nicholas Hamilton (Hamilton), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hamilton 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 an investment made in 2014 was 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 Timothy Banks (Banks), previously associated with Private Client Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Banks 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 Lawrence Nack (Nack), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Nack 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 Richard Haupt (Haupt), currently associated with Tiaa-cref Individual & Institutional Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Haupt 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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