Articles Posted in Reg BI

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

FINRA BrokerCheck shows a settled customer complaint on March 24, 2020.

Claimants allege FA over-concentrated their portfolio in unsuitable investments.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Scott Blando (Blando), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Blando 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 $50,000.00  on March 27, 2020.

Plaintiffs, as executor and personal representative of Estate, allege that beneficiaries were not designated according to the instructions of the decedent in October 2018. As a result, Plaintiffs did not receive distributions of approximately $50,000.00.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Samuel Fahsholtz (Fahsholtz), currently associated with Stifel, Nicolaus & Company, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Fahsholtz 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 $90,000.00  on March 27, 2020.

Claimant alleges common law fraud, breach of fiduciary duty, negligence, breach of contract, violation of Washington Consumer Protection Act, and violation of Securities Act of Washington

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Rosen (Rosen), currently associated with Southeast Investments, N.c., INC., has at least one disclosable event. These events include one customer complaint, alleging that Rosen 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 $520,000.00  on March 30, 2020.

Customers alleged the advisor’s recommendation to purchase variable annuities, in October 2014,\<char_lb_r>\, was not the most suitable choice for them and the product was misrepresented.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ruse Brown (Brown), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Brown 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 $250,000.00  on March 30, 2020.

Time frame: 2017-2018\<char_lb_r>\, Claimants’ counsel alleges unsuitability, misrepresentation, and negligence with respect to recommendations to invest in bonds.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Donald Durando (Durando), currently associated with PHX Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Durando 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 $650,000.00  on March 30, 2020.

Unsuitable investments

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mathew Tong (Tong), previously associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Tong 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 $43,770.00  on March 27, 2020.

Client alleges suitability regarding managed account investment. Activity dates  03/18/2020-03/18/2020.

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

FINRA BrokerCheck shows a settled customer complaint on March 30, 2020.

Customer amended allegations to allege misrepresentation of mutual funds.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Renee Burns (Burns), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Burns recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on March 30, 2020.

The customer alleges unsuitable investment recommendations from July 2019 until March 2020.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Claric (Claric), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Claric 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 $88,000.00  on March 27, 2020.

In 2018, the client’s daughter took unauthorized distributions in the amount of $88,000 from her father’s IRA that were not authorized.

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