Articles Posted in Reg BI

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Lagrange (Lagrange), currently associated with Moloney Securities Co., Inc., has at least 3 disclosable events. These events include 2 customer complaints, one regulatory, alleging that Lagrange 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 $72,000.00 on December 31, 2024.

Suitability/negligence. 2020

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Starke (Starke), previously associated with Centaurus Financial, Inc., has at least 13 disclosable events. These events include 13 customer complaints, alleging that Starke 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 December 30, 2024.

The customers allege from 2015 through December 2023, the Registered Representative recommended and misrepresented unsuitable, speculative, high-risk investments.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Worth (Worth), currently associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Worth 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 December 29, 2024.

Customer alleges the RR misrepresented the policy fees for VA sold in 2022.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eric Kuchherzki (Kuchherzki), currently associated with Centaurus Financial, Inc., has at least 5 disclosable events. These events include 5 customer complaints, alleging that Kuchherzki 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 $150,000.00 on December 31, 2024.

The customers allege that in February 2020, and in April 2021, the Registered Representative recommended and misrepresented an unsuitable, high-risk, illiquid investment.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Kennedy (Kennedy), currently associated with Cambridge Investment Research, Inc., has at least 6 disclosable events. These events include 6 customer complaints, alleging that Kennedy 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 $81,000.00 on December 30, 2024.

Claimants allege the RR recommended an unsuitable Oil & Gas investment.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Tom Anselmi (Anselmi), currently associated with Osaic Wealth, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Anselmi 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 $50,000.00 on December 30, 2024.

Claimant alleges their RR recommended an unsuitable Oil and Gas investment.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Cavallaro (Cavallaro), currently associated with LPL Financial LLC, has at least 8 disclosable events. These events include 8 customer complaints, alleging that Cavallaro 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 $40,000.00 on December 30, 2024.

CLAIMANTS ALLEGE THE RR RECOMMENDED AN UNSUITABLE OIL & GAS INVESTMENT

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Ulwick (Ulwick), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Ulwick 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 $70,000.00 on December 30, 2024.

CLAIMANT ALLEGES THE RR RECOMMENDED AN UNSUITABLE OIL & GAS INVESTMENT

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker J craig Mcilroy (Mcilroy), currently associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Mcilroy 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 December 30, 2024.

Claimant alleges the RR recommended an unsuitable Oil & Gas investment.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Osvaldo Puccinelli (Puccinelli), previously associated with Lincoln Financial Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Puccinelli 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 $35,000.00 on December 30, 2024.

Claimant alleges the RR recommended an unsuitable Oil & Gas investment.

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