Articles Posted in Reg BI

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeremy Bouwman (Bouwman), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Bouwman 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 $72,160.62 on May 13, 2022.

The client alleges the financial advisor’s advice to take funds from a home loan to invest in the market was not suitable.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Panagiotis Ermogenous (Ermogenous), currently associated with Santander Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Ermogenous 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 May 09, 2022.

Client alleged poor performance.

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

FINRA BrokerCheck shows a settled customer complaint on May 11, 2022.

Client alleges registered representative failed to follow his instruction on March 30, 2016.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Dickerson (Dickerson), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Dickerson 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 $548,585.00 on May 10, 2022.

The client alleges the financial advisor did not mention the potential tax implications of transferring assets into her Edward Jones Advisory Solutions account . The client also alleges the financial advisor did not act in her best interests in failing to inform her of potential tax implications of the transfer and liquidation of assets.

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

FINRA BrokerCheck shows a settled customer complaint on May 09, 2022.

Claimant alleges the RR recommended an unsuitable Real Estate Investment Trust (REIT) investment.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Kazan (Kazan), previously associated with Arete Wealth Management, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Kazan 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 $200,000.00 on May 11, 2022.

Claims investments were not suitable.

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

FINRA BrokerCheck shows a settled customer complaint on May 11, 2022.

Customer alleges the Survivorship Variable Universal Life Insurance policy he purchased along with his wife in December 2001 was originally understood to include a rider that would pay a death benefit upon the passing of either insured. He states that he is now being told after his wife’s passing that the rider originally selected does not provide a death benefit but rather a waiver of the cost of insurance after the passing of the first insured, which is not consistent with his previous understanding.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bryan Kupchik (Kupchik), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kupchik 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 $97,953.00 on May 13, 2022.

Claimants allege that certain alternative investments purchased through another broker were unsuitable because their value allegedly declined. Activity Period: September of 2016 to May of 2022.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Timothy Albert (Albert), currently associated with Pnc Wealth Management LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Albert 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 $15,764.00 on May 09, 2022.

Customer alleges that representative did not correctly explain the features associated with the investments and they were not consistent with her stated objectives.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robin Saleeby (Saleeby), previously associated with Innovation Partners LLC, has at least one disclosable event. These events include one customer complaint, alleging that Saleeby 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 $6,974.29 on May 06, 2022.

Customer alleges that financial professional misrepresented variable annuity purchased in 2021 and failed to timely deliver contract.

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