Articles Posted in Reg BI

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eric Dec (Dec), previously associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Dec 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 $125,000.00 on March 14, 2023.

Violations of Federal Securities Laws, fraud, violations of the Georgia securities act, unsuitable recommendations, misrepresentations and omission of material fact, breach of contract, common law fraud, breach of fiduciary duty, negligence and gross negligence.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Van Horn (Van Horn), currently associated with Moloney Securities Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Van Horn 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 March 13, 2023.

Suitability/negligence. 2020

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Marion Leonberger (Leonberger), previously associated with American Equity Investment Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Leonberger 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 $100,000.00 on March 15, 2023.

Investments made on September 2018. September 2019, August 2020 and September 2020 in GWG L-bond. L-Bond stopped paying interest in February 2022 and in April, 2022, GWG filed for re-organization under Chapter 11 bankruptcy. Plan to exit bankruptcy currently being reviewed by court.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Timothy Peoples (Peoples), currently associated with Regulus Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Peoples 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 March 15, 2023.

Investments made on September 2018. September 2019, August 2020 and September 2020 in GWG L-bond. L-Bond stopped paying interest in February 2022 and in April, 2022, GWG filed for re-organization under Chapter 11 bankruptcy. Bankruptcy plan and Wind Down Trust have been approved by the court.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Paul Gomperz (Gomperz), previously associated with IBN Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Gomperz 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 $158,000.00 on March 14, 2023.

Suitability in GWG holdings

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Noele Pace (Pace), previously associated with LPL Enterprise, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Pace 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 $8,165.80 on March 20, 2023.

Customer Alleges the rep failed to disclose charges, expenses and fees.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alexander Page (Page), previously associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Page 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 $18,000.00 on March 18, 2023.

Client had First Republic stock in her portfolio, which fell significantly over the course of a week. On March 14th client complained that she had not given discretionary authority. RIA and advisor sent client paperwork indicating discretion that client signed off on. Client claimed they were Schwab documents and not internal documents. Advisor sent internal documents indicating a digital signature from client, which indicated discretion, but it lacked a date and time stamp.

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

FINRA BrokerCheck shows a settled customer complaint on March 20, 2023.

Client alleges that the rate that he would be charged on his managed account was misrepresented. 2020-2023

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

FINRA BrokerCheck shows a settled customer complaint on March 20, 2023.

Customer alleges that the recommendation to rollover contributions to her variable annuity in April and June 2022 was not consistent with her needs given her age and retirement. Customer has requested that the funds be moved to another product without incurring fees.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brooke Bordner (Bordner), currently associated with U.S. Bancorp Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bordner 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 $384,370.00 on March 20, 2023.

Complaint alleges failure to timely follow instructions with regard to third-party’s request to change power of attorney resulting in financial loss.

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