Articles Posted in Reg BI

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Glen Viditz Ward (Viditz Ward), currently associated with Cambridge Investment Research, INC., has at least one disclosable event. These events include one customer complaint, alleging that Viditz Ward 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 $1,000,000.00 on March 06, 2023.

Client asserts that the RR’s strategy was too risky.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Arthur Grossbard (Grossbard), currently associated with Osaic Institutions, INC., has at least one disclosable event. These events include one customer complaint, alleging that Grossbard 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 $101,001.00 on March 03, 2023.

The Claimants allege that the financial professional recommended an alternative investment that was unsuitable.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Llewellyn Rowell (Rowell), currently associated with Hornor, Townsend & Kent, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Rowell 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 $214,122.36 on March 03, 2023.

The client alleges that the variable annuity purchased in February of 2013 was an unsuitable recommendation and investment for his client’s tax-qualified funds, and a breach of ficudiary duty.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eric Deneau (Deneau), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Deneau 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 $7,694.00 on March 15, 2023.

Customer alleges unsuitable investment recommendation. Activity dates 3.2.23 – 3.2.23.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Darwin Morales (Morales), currently associated with PFS Investments INC., has at least one disclosable event. These events include one customer complaint, alleging that Morales 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 $17,416.38 on March 10, 2023.

[redacted] alleges that i guaranteed a 6% earings annually on the money she invested in lincoln financial annuity. She also alleged that my investment recommendation was not suitable for her investment objectives and financial needs.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Farhad Sediqi (Sediqi), currently associated with Osaic Institutions, INC., has at least one disclosable event. These events include one customer complaint, alleging that Sediqi 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 $85,647.97 on March 15, 2023.

Alleges investment presented to him was a short term investment with a yearly 4% return. Client also expressed concern with his annuity balance which had dropped significantly since inception. The client requested that the Jackson investment be stopped, investigated and to have his funds returned to him.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Forbes (Forbes), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Forbes 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 $38,325.25 on March 15, 2023.

Customer alleges unsuitable investment recommendation. Activity dates 2014 – 2015.

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

FINRA BrokerCheck shows a settled customer complaint on March 14, 2023.

Client alleges he suffered market loss for two equities that were not liquidated at the time of his request.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Benjamin Anolik (Anolik), currently associated with Pnc Investments, has at least one disclosable event. These events include one customer complaint, alleging that Anolik 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 $20,000.00 on March 08, 2023.

Customer alleges representative did not correctly evaluate the cost basis for an annuity prior to surrender.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ricardo Rose (Rose), previously associated with Arive Capital Markets, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Rose 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 $50,000.00 on March 09, 2023.

Claimant Claims GWG took her funds without her permission

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