Articles Posted in Reg BI

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Zupek (Zupek), currently associated with Concorde Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Zupek 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 $145,715.00 on April 30, 2020.

Claim is alleging breach of contract, fraud, misrepresentation, breach of fiduciary duty and violation of FINRA rules.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Snipes (Snipes), currently associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Snipes 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 $8,082.00 on April 30, 2020.

Client alleges advisor gave incorrect information about taxes when withdrawing funds from an annuity. Alleged activity dates: 4/22/20 – 6/3/20

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

FINRA BrokerCheck shows a settled customer complaint on May 01, 2020.

Client alleges that his former fa purchased a corporate bond in his account without his authoization. 2020 damages unspecified

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gary Forrest (Forrest), previously associated with American Portfolios Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Forrest 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 April 24, 2020.

Claimants allege violations of Federal Securities Laws, violation of Michigan Uniform Securities Act, violation of Michigan Consumer Protection Act, breach of contract, common law fraud, breach of fiduciary duty, and negligence.

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

FINRA BrokerCheck shows a settled customer complaint on May 01, 2020.

Customer alleges unauthorized trading in two accounts. Activity period:  March 13 – 18, 2020.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Vincent Lewis (Lewis), previously associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Lewis 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 $130,000.00 on April 27, 2020.

The customer alleges misrepresentations were made regarding trading activity on July 5, 2019.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alicia Huburn (Huburn), currently associated with Tiaa-cref Individual & Institutional Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Huburn recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

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

In the Arbitration statement of claim, the client alleges that the representative did not follow his instructions to liquidate funds from a specific account in March 2018. The client claims that his disability premiums were discontinued and forfeited due to the withdrawal from his Retirement Annuity and he has suffered damages as a result.

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

FINRA BrokerCheck shows a settled customer complaint on May 07, 2020.

Customer alleged that representative did not follow his instructions regarding trading in his managed accounts.

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

FINRA BrokerCheck shows a settled customer complaint on May 04, 2020.

The client alleges the FA violated a duty of care by recommending unsuitable investments based upon the client’s stated needs.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Timothy Cunningham (Cunningham), currently associated with Benjamin F. Edwards & Company, INC., has at least one disclosable event. These events include one customer complaint, alleging that Cunningham 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 $2,457.00 on May 03, 2020.

Client alleges unauthorized trading regarding mutual fund investment. Activity dates 03/17/2020-03/17/2020.

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