Articles Posted in Reg BI

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Pamala Reilly (Reilly), currently associated with Planmember Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Reilly 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 $36,340.69 on March 31, 2025.

Client alleges that due to the mishandling of a transfer out request, they lost $36,340.69 due to market losses.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Chun Elmejjad (Elmejjad), previously associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Elmejjad 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 $25,000.00 on March 18, 2025.

Beneficiary alleges RR Elmejjad misappropriated funds in connection with a loan that the RR accepted from the client.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Karin (Karin), currently associated with Western International Securities, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Karin 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 $75,000.00 on March 21, 2025.

Customer alleges that an investment recommendation was unsuitable and misleading.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Loesch (Loesch), currently associated with Newedge Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Loesch 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 $179,000.00 on April 04, 2025.

Client alleges that the use of margin to purchase municipal bonds was not explained and should have been discontinued when interest rates began to rise in 2022

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Karen Briggs (Briggs), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Briggs 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 $259,000.00 on March 13, 2025.

Customer alleges that an investment made in 2019 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 Jay Spieler (Spieler), currently associated with Oppenheimer & Co. Inc., has at least one disclosable event. These events include one customer complaint, alleging that Spieler 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 $300,000.00 on March 14, 2025.

Claimant alleges she suffered losses because of an ill-timed liquidation of an investment and alleges claims for breach of fiduciary duty, fraud and negligence. From 11/2022 – 12/2022

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Engler (Engler), previously associated with Ameriprise Financial Services, LLC, has at least 3 disclosable events. These events include one customer complaint, 2 regulatory events, alleging that Engler recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on March 20, 2025.

Respondent Engler failed to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA request to provide information concerning the status of compliance.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Yvonne Redmond (Redmond), currently associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Redmond 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 $68,300.00 on March 17, 2025.

Customer alleges issues with investment disclosures at time of sale in 2013.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Luke Brooks (Brooks), previously associated with U.s. Bancorp Investments, Inc., has at least one disclosable event. These events include one regulatory event, alleging that Brooks recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on July 31, 2024.

Respondent Brooks failed to respond to FINRA requests for information.

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

FINRA BrokerCheck shows a final customer complaint on July 30, 2024.

Respondent Aguilar failed to respond to FINRA requests for information.

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