Articles Posted in Reg BI

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Arvanites (Arvanites), currently associated with Janney Montgomery Scott LLC, has at least one disclosable event. These events include one customer complaint, alleging that Arvanites 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 March 22, 2021.

Client alleges that the Financial Advisor failed to follow the Client’s instructions to enter an order for the sale of an equity position as a stop limit order.

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

FINRA BrokerCheck shows a settled customer complaint on March 31, 2021.

Client alleges financial advisor placed unauthorized mutual fund trades that settled on December 13, 2019.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Enric Sifa (Sifa), currently associated with Cetera Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Sifa 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 $16,000.00 on April 02, 2021.

Customer alleges that she was misled into purchasing a variable universal life insurance policy in June 2018 and requests a return of the premiums she paid.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Murray Kinlaw (Kinlaw), previously associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Kinlaw 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 $2,212.21 on March 31, 2021.

The customer alleges that the financial advisor purposely accrued attorney fees and provided poor advice regarding the liquidation of a concentrated equity position.

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

FINRA BrokerCheck shows a settled customer complaint on March 30, 2021.

Client alleges the account activity from January 24, 2017 through August 2017 was not suitable.

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

FINRA BrokerCheck shows a settled customer complaint on March 30, 2021.

Customer alleges that a Variable Universal Life insurance policy he purchased in April 2016 is not appropriate for him. Customer wants the policy cancelled without fees or expenses.

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

FINRA BrokerCheck shows a settled customer complaint on March 30, 2021.

Claimant alleges the RR misrepresented the tax implications of a retirement plan.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Amarilis Santiago Torres (Santiago Torres), currently associated with Popular Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Santiago Torres 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 $310,000.00 on March 31, 2021.

Claimant alleges that Financial Consultant made recommendations to purchase and to hold P.R. Closed-end funds and P.R. Bonds, resulting in an over concentrated and high risk portfolio, which was unsuitable in light of the client\\u00e2? ?s stated risk tolerance and investment objective.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Noor Amirali (Amirali), currently associated with D.h. Hill Securities, Lllp, has at least one disclosable event. These events include one customer complaint, alleging that Amirali 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 $36,000.00 on April 01, 2021.

Allegations include Breach of Contract, Violation of State Securities Statues, Breach of Fiduciary Duty, Negligence, Misrepresentation, Unjust Enrichment, Failure to Supervise, Statutory Damages, and control Person Liability for products sold during May 2015.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Cameron Foster (Foster), previously associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Foster 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 29, 2021.

Claimant alleges that Mr. Foster recommended an investment product that was unsuitable.

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