Articles Posted in Reg BI

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Specker (Specker), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Specker 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 $968,450.00 on March 05, 2025.

Time frame: 2024-present\, Allegations: Claimants’ counsel alleges financial advisor erroneously transferred certain stock shares into a retirement account resulting in the loss of a tax benefit.

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

FINRA BrokerCheck shows a pending customer complaint on March 05, 2025.

Claimants allege unsuitable investment recommendations.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nicole Hiller (Hiller), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Hiller 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 $968,450.00 on March 05, 2025.

Time frame:    2024-present\, Allegations: Claimants’ counsel alleges financial advisor erroneously transferred certain stock shares into a retirement account resulting in the loss of a tax benefit.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Glenn Wittpenn (Wittpenn), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Wittpenn 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 $15,616.00 on March 07, 2025.

Clients complain Financial Advisors purchased discounted bonds without authorization, resulting in loss of state income tax benefit. (5/17/2022-3/7/2025)

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jennifer Scroggins (Scroggins), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Scroggins 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 $5,000.00 on March 06, 2025.

Client alleges that variable annuity was misrepresented at the time of purchase.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Bodkins (Bodkins), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Bodkins 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 $29,023.00 on March 05, 2025.

Client’s representative alleges, inter alia, that the client’s account was not managed in her best interests  2017-2025

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Maurice Gelfo (Gelfo), currently associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Gelfo 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 $5,000.00 on March 05, 2025.

Customer alleges the RR misrepresented sales fees and surrender penalties for VUL Policy sold in 2021.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Yi Hao (Hao), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hao 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 $20,710.93 on March 11, 2025.

Customer Alleges that the rep did not fully disclose all the facts (information) regarding fees and using misleading acts during sale. This matter is being reported consistent with FINRA rules pertaining to the reporting of certain written customer complaints. The company by this filing makes no allegations regarding the actions of the representative.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stanley Patrick (Patrick), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Patrick 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 $35,000.00 on March 10, 2025.

Customer alleges that an investment made in 2014 was unsuitable for the customer’s investment objectives and risk tolerance.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Welsh (Welsh), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Welsh 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 $8,494.00 on March 10, 2025.

Customer alleges unsuitable investment recommendation. Activity dates 1.27.25 – 1.27.25.

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