Articles Posted in Reg BI

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Nicholson (Nicholson), currently associated with D.a. Davidson & CO., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Nicholson 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 August 10, 2020.

Client expressed concern that the liquidation of her non-qualified variable annuity resulted in a $90,000 tax bill. 10/21/19 – 8/5/2020

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Anthony Abrams (Abrams), previously associated with Woodbury Financial Services, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Abrams 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 $15,000.00  on August 07, 2020.

Customer alleges unauthorized trading of accounts.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Volpe (Volpe), previously associated with First Financial Equity Corporation, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Volpe recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on August 06, 2020.

Claimant alleges that between 2015 and April 2019, representative converted her funds by liquidating her accounts for his own personal use and by requesting claimant to write personal checks to him.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Olson (Olson), previously associated with Northland Securities, INC., has at least 4 disclosable events. These events include 4 customer complaints, alleging that Olson 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 $906,374.66  on August 07, 2020.

Claimants allege violation of federal securities laws, violation of Minnesota Securities Act, violation of Minnesota’s Consumer Protection Act, breach of contract, common law fraud, breach of fiduciary duty, negligence and gross negligence.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ahmet Kildis (Kildis), currently associated with Fifth Third Securities, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Kildis recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a award / judgment customer complaint on August 10, 2020.

Claimants, as attorneys-in-fact, allege that representative failed to properly process beneficiary documentation.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Billy Martin (Martin), previously associated with Cetera Advisors LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Martin 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 $100,000.00  on August 07, 2020.

Customers allege that the representative made unsuitable investment recommendations.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brent Bunger (Bunger), currently associated with Integrity Alliance, LLC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Bunger 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 $850,000.00  on August 10, 2020.

Unsuitable recommendations, material misrepresentatins, elder abuse

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Rasikaran Boaz (Boaz), currently associated with Equitable Advisors, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Boaz 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 $100,000.00  on August 10, 2020.

Client alleges a 2015 replacement insurance policy’s fees and surrender scheduled were misrepresented.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Douglas Keller (Keller), previously associated with Chelsea Financial Services, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Keller 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 $100,000.00  on August 10, 2020.

Client alleges a 2015 replacement insurance policy’s fees and surrender scheduled were misrepresented.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Roberta Nestor (Nestor), currently associated with Commonwealth Financial Network, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Nestor 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 $895,000.00  on August 07, 2020.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $895,000.00  on August 07, 2020.

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