Articles Posted in Reg BI

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Peters (Peters), currently associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Peters 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 $85,000.00 on November 03, 2023.

The customers allege that in December of 2020, the Registered Representative recommended unsuitable, complex, high-risk, speculative and illiquid investments and breached his fiduciary duty.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Erkan Afacan (Afacan), previously associated with Cambridge Investment Research, INC., has at least one disclosable event. These events include one customer complaint, alleging that Afacan 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 $500,000.00 on October 31, 2023.

Statement of Claim alleges the financial professional recommended unsuitable investments. Claimants suggest the investments were misrepresented to them.

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

FINRA BrokerCheck shows a award / judgment customer complaint on November 03, 2023.

Client purchased GWG L-Bonds in October of 2018. After meeting an opportunistic lawyer in 2022, the investor claims that he was not suitable after receiving interest payments for 3 years now that GWG is in reorganization bankruptcy.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joel Johnson (Johnson), previously associated with Silver Oak Securities, Incorporated, 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 with a damage request of $5,000.00 on November 02, 2023.

Claimant states, “The nature of the investment products, the concentration issue, the unsuitability, heighted supervision required, and the risks associated with the illiquidity, lack of transparency, and high-commission product – disguised and misrepresented as a suitable investment strategy – were all on Respondent and FA Johnson. But for their recommendations and negligent misrepresentations and omissions of material facts, Claimant would not have incurred the unnecessary losses and damages in this case.”

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bradley Ford (Ford), currently associated with Madison Avenue Securities, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Ford 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 $55,000.00 on November 02, 2023.

Client filed a complaint with the State of Indiana regarding the sale of two REIT products in May of 2014, citing that the products were unsuitable.

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

FINRA BrokerCheck shows a settled customer complaint on November 06, 2023.

Customer alleges unauthorized trading

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Citron (Citron), currently associated with Vanderbilt Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Citron 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 $200,000.00 on October 31, 2023.

Client alleges FA improperly followed client’s spouse’s instructions to withdraw funds from client’s individual account when spouse was not authorized to give such.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Bates (Bates), currently associated with Cambridge Investment Research, INC., has at least one disclosable event. These events include one customer complaint, alleging that Bates 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 $500,000.00 on October 31, 2023.

Statement of Claim alleges the financial professional recommended unsuitable investments. Claimant suggests the investments were misrepresented to him.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Danny Strain (Strain), currently associated with Cape Securities INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Strain 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 $500,000.00 on November 01, 2023.

Misrepresentation and misleading information regarding investments.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Grant Krieger (Krieger), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Krieger 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 $200,000.00 on November 09, 2023.

Claimant asserts claims based on allegations the registered representative failed to disclose he was going to sell equity positions resulting in long-term capital gains.

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