Articles Posted in Reg BI

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Vincenzo Garganese (Garganese), currently associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Garganese 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 $5,001.00 on July 15, 2025.

The complainants allege several violations beginning in/and around February 2021, that the registered representative engaged in pervasive and high-pressure advisory and investment sales practices, including misrepresentations and failure to provide material disclosures, to the Plan and its participants.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lorraine Gallette (Gallette), previously associated with Moloney Securities Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Gallette 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 $100,000.00 on July 17, 2025.

The claimants allege unsuitable investments.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ian Geeves (Geeves), previously associated with Vanderbilt Securities, LLC, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Geeves 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 $400,000.00 on July 15, 2025.

Customer alleges Advisor and Broker-Dealer/IA breached contract and covenant of good faith/fair dealing, breached fiduciary duty, and committed fraud while handling life insurance proceeds.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Stucke (Stucke), currently associated with Cetera Wealth Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Stucke 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 $400,000.00 on July 21, 2025.

Statement of Claim alleges the financial professional recommended unsuitable and risky investments resulting in substantial loss.

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

FINRA BrokerCheck shows a pending customer complaint on July 18, 2025.

The clients complained that they did not authorize an additional purchase of securities, and that the securities were too risky. The clients also complained that other securities recommended by the Financial Advisor did not meet their directive to invest in a “safe” investment. (09/05/2024 – 06/18/2025)

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Hebner (Hebner), previously associated with Moloney Securities Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Hebner 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 $99,000.00 on July 21, 2025.

Suitability/negligence. 2020.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sunnie Lee (Lee), currently associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lee 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 $6,865.73 on July 28, 2025.

The complainant alleges that in 2019, the producer persuaded her to replace her variable universal life policy with a whole life policy without any explanation of the surrender charges, causing her financial harm

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ray Gallette (Gallette), previously associated with Coastal Equities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Gallette 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 $100,000.00 on July 17, 2025.

The claimants allege unsuitable investments.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Patrick Egan (Egan), previously associated with Western International Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Egan 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 $105,000.00 on July 30, 2025.

Unsuitable sale of GWG Holdings, Inc. L bonds in 2019

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Higgins (Higgins), previously associated with Western International Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Higgins 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 $65,000.00 on July 30, 2025.

Unsuitable sale of GWG Holdings, Inc. L bonds in 2019 and 2020

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