Articles Posted in Reg BI

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Patrick Siria (Siria), previously associated with Cetera Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Siria 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 June 03, 2024.

Claimant alleges unsuitable investment recommendations which resoluted in losses.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Curtis Edmark (Edmark), currently associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Edmark 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 $150,000.00 on May 29, 2024.

In March of 2019, and in May of 2020, the customer alleges that the Registered Representative recommended unsuitable, high-risk, speculative, illiquid investments and breached his fiduciary duty.

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

FINRA BrokerCheck shows a pending customer complaint on June 04, 2024.

Beginning in 2014, Claimants allege their Financial Advisors (FA) made unsuitable investment recommendations with regard to their long-term objectives and risk tolerance causing Claimants to suffer significant losses.

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

FINRA BrokerCheck shows a pending customer complaint on May 29, 2024.

Claimants state from 2007 to 2022 Registered Representative recommended illiquid unsuitable investment strategies.

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

FINRA BrokerCheck shows a pending customer complaint on June 03, 2024.

Clients allege advisor allowed [REDACTED] variable life insurance policy to lapse.

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

FINRA BrokerCheck shows a settled customer complaint on June 07, 2024.

The customer alleges she was misled when she purchased a variable annuity in November 2021. The Customer no longer wants the annuity.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alison Hamilton (Hamilton), currently associated with Raymond James Financial Services, INC., 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 with a damage request of $251,901.00 on June 05, 2024.

Executrix of deceased client’s estate alleges concerns over alleged mutual fund share classes in client’s account, missed breakpoints, rights of accumulation, and excessive commissions and fees, and also alleges possible concerns regarding the suitability of a non-qualified annuity.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Chay Lapin (Lapin), currently associated with Fnex Capital, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Lapin 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 $137,000.00 on June 04, 2024.

From investment activity in 2019, claimant alleges the following: failure to conduct reasonable due diligence, negligence, failure to disclose material facts, failure to conduct suitability, Failure to supervise, misrepresentation and omissions, breach of contract, breach of fiduciary duty

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Anderson (Anderson), previously associated with Avantax Investment Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Anderson 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 June 06, 2024.

Client alleges representative made unsuitable recommendations for purchase of an alternative investment.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gal Horev (Horev), currently associated with Dempsey Lord Smith, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Horev 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 $394,486.00 on June 07, 2024.

Fraud, deceit, misrepresentation, and omissions of material facts

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