Articles Posted in Reg BI

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jason Vanclef (Vanclef), currently associated with American Trust Investment Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Vanclef 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 $500,000.00 on March 20, 2023.

Failure to supervise, negligence, breach of fiduciary duty, fraud, breach of contract and financial elder abuse.

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

FINRA BrokerCheck shows a award / judgment customer complaint with a damage request of $700,000.00 on March 15, 2023.

Hernany Martinez Corona was a Subject Of the customer’s complaint against his member firm that asserted the following causes of action: breach of fiduciary duty, negligence/negligent misrepresentation/omission, common law fraud, breach of contract, and negligent supervision.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gregory Barson (Barson), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Barson 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 $99,000.00 on March 17, 2023.

The customer alleges breach of fiduciary duty, lack of suitability, misrepresentations and failure to supervise in regards to investments made on behalf of the customer.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Darin Guthrie (Guthrie), previously associated with Fidelity Brokerage Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Guthrie 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 $60,000.00 on March 16, 2023.

Allegation that representative made misrepresentations in connection with a recommendation to transfer an annuity to the Firm. The notation stated that there was some sort of improper transfer of an annuity in 03/16/2023. The complaint came in after I left the firm voluntarily in February of 2023. I did not get compensated for transfers of annuities at Fidelity so this transaction is unclear to me. I did not receive any type of notification about this event, rather I found it on my U4 when I was applying for other roles. I have worked with annuities for over 20 years and have always taken pride in doing the right thing for clients. Fidelity settled with the client and I never had a chance to defend or explain myself.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ronald Richer (Richer), previously associated with Garden State Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Richer 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 20, 2023.

Suitability, breach of fiduciary responsibility, loss opportunity.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Damon Gallagher (Gallagher), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Gallagher 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 March 16, 2023.

Claimants alleges, failure to supervise with respect to Financial Advisor’s management of accounts 2019 – 2022

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Farrell (Farrell), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Farrell 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 March 16, 2023.

Claimants alleges, failure to supervise with respect to Financial Advisor’s management of accounts 2019 – 2022

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Borleis (Borleis), currently associated with Cabin Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Borleis 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 16, 2023.

Client alleges investment is unsuitable.

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

FINRA BrokerCheck shows a pending customer complaint on March 17, 2023.

Claimants allege representative made unsuitable investment recommendations during the period of January 2018 to June 2021

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

FINRA BrokerCheck shows a settled customer complaint on March 17, 2023.

Client Alleges, Inter alia, misrepresentation with respect to private equity investments 2018-2020

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