Articles Posted in Reg BI

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Romeo (Romeo), currently associated with Rnr Securities, L.l.c., has at least one disclosable event. These events include one customer complaint, alleging that Romeo 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 $115,000.00 on November 14, 2023.

Claimant asserts various causes of action relating to securities transactions and asserts damages of approximately $115,000. The respondents deny any allegations of wrongdoing and will prove before FINRA that the positions at issue in the claim were never recommended to Claimant, that she never held an account that purchased the positions at issue.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jack Yvars (Yvars), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Yvars 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 $104,624.00 on November 20, 2023.

Clients allege that certain mutual fund recommendations were not in keeping with their investment needs and objectives.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joshua Puccini (Puccini), currently associated with Northwestern Mutual Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Puccini 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 November 20, 2023.

Complainant alleges that on the advice of her representatives, she sold securities at her E*Trade account resulting in tax implications.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Weber (Weber), previously associated with Triad Advisors, INC., has at least one disclosable event. These events include one customer complaint, alleging that Weber 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 November 20, 2023.

The Claimant alleges that the financial professional sold an alternative investment that was unsuitable.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Hanna Grichanik (Grichanik), currently associated with Northwestern Mutual Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Grichanik 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 November 20, 2023.

Complainant alleges that on the advice of her representatives, she sold securities at her E*Trade account resulting in tax implications.

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

FINRA BrokerCheck shows a settled customer complaint on November 21, 2023.

Claimant alleges REIT purchased was unsuitable.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brandon Spano (Spano), previously associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Spano 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 $110,000.00 on November 21, 2023.

Clients allege that RR Spano misappropriated $110,00.00 entrusted to him for investing.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jason La Vigne (La Vigne), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that La Vigne 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 $203,000.00 on November 20, 2023.

The Claimants allege that the financial professional sold them alternative investments that were unsuitable.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Yong Chang (Chang), currently associated with Independent Financial Group, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Chang 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 $45,000.00 on November 20, 2023.

Alleges product was not suitable and was not in line with claimant’s investment objectives and risk tolerance.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Elicia Fultz (Fultz), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Fultz 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 $48,263.00 on November 17, 2023.

The client alleges there were unauthorized withdrawals from his IRA account which were clearly against his instructions. The client further alleges the withdrawals had no benefit and he incurred substantial tax liability. Time Frame: April 1, 2021 to April 7, 2021

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