Articles Posted in Reg BI

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

FINRA BrokerCheck shows a award / judgment customer complaint with a damage request of $39,851.58 on March 22, 2021.

Finra arbitration 21-00646 in which claimants allege dissatisfaction in the management of their managed accounts.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Jones (Jones), previously associated with National Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Jones 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 March 22, 2021.

Suitability

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Forehand (Forehand), currently associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Forehand 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 $330,000.00 on March 26, 2021.

Claimant alleges that he purchased an unsuitable, high-risk investments. Claimant alleges the recommendation constituted breach of contract, negligence, and failure to supervise.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Teresa Bravo (Bravo), currently associated with Nationwide Planning Associates INC., has at least one disclosable event. These events include one customer complaint, alleging that Bravo 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 $300,000.00 on March 29, 2021.

Time frame: January 2011-Unspecified Claimant alleges that the recommendation to invest in and hold Puerto Rico closed-end funds and Puerto Rico municipal bonds was unsuitable and that his account was over-concentrated in these investments. He also alleges that the risks of investing in and concentrating in PR investments were misrepresented.

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

FINRA BrokerCheck shows a settled customer complaint on March 26, 2021.

Time Frame: August 21, 2017 to March 26, 2021\, \, What were the allegations against the individual? \, \, The client alleges his Financial Advisors failed to disclose the fees on the account. The alleged damages are estimated to be in excess of $5,000.00.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Adolfo Cividanes Freiria (Cividanes Freiria), previously associated with Rd Capital Group, INC., has at least one disclosable event. These events include one customer complaint, alleging that Cividanes Freiria 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 $24,230.19 on March 19, 2021.

Customer alleges that he was unaware of the sale of 10 shares of TSLA stock from his account on February 4, 2020. Since that time, the stock has been subject to a 5:1 split. As a result, and based on funds in the account from the sale of the 10 shares, the customer claims he is entitled to 37 shares of TSLA.

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

FINRA BrokerCheck shows a final customer complaint on March 26, 2021.

The Division alleged Respondent violated Sections 61-1-1(2) and (3) of the Utah Uniform Securities Act (Act), Section 61-1-3(1), Section 61-1-7 and 61-1-16 of the Act.

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

FINRA BrokerCheck shows a settled customer complaint on March 26, 2021.

The customer alleges unsuitable investment recommendations from December 2018 until February 2021.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gerald Randisi (Randisi), previously associated with Commonwealth Financial Network, has at least one disclosable event. These events include one customer complaint, alleging that Randisi 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 $142,000.00 on March 22, 2021.

Customer alleges sales of Franklin Square Investment Corp. and C shares mutual funds were unsuitable.

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

FINRA BrokerCheck shows a settled customer complaint on March 26, 2021.

Time Frame: August 21, 2017 to March 26, 2021\, \, The client alleges his Financial Advisors failed to disclose the fees on the account. The alleged damages are estimated to be in excess of $5,000.00

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