Articles Posted in Reg BI

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stephen Hannah (Hannah), previously associated with Citizens Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Hannah 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 $15,000.00 on April 14, 2021.

Client alleges that he was lied to concerning his managed wrap account investment. He further states that when he liquidated the account, he received $15,000.00 less than he was informed by the trade desk that he would receive.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Skoog (Skoog), currently associated with Northwestern Mutual Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Skoog 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 April 22, 2021.

Customers alleging settlement of their variable annuity to a fixed income plan was unsuitable.

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

FINRA BrokerCheck shows a settled customer complaint on April 16, 2021.

Claimants allege violations of FINRA Rule 2110 and FINRA Rule 2111, negligence, misrepresentations and omissions of material facts, and breach of fiduciary duty.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Chancellor (Chancellor), currently associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Chancellor 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 $20,000.00 on April 20, 2021.

Claimant alleges unsuitability of alternative investment which caused financial harm. The allegations include breach of fiduciary duty, violations of rules, and negligence.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bashar Hakim (Hakim), currently associated with LPL Enterprise, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hakim 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 $30,000.00 on April 15, 2021.

Client alleges the representative failed to disclose the tax consequences of withdrawing funds from her annuity.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jonathan Pyne (Pyne), currently associated with Berthel, Fisher & Company Financial Services, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Pyne 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 $116,000.00 on April 22, 2021.

The client alleges the investments he purchased in 2014 were unsuitable and misrepresented by the representative. The client also alleges the firm failed to adequately supervise the representative.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Anthony Smith (Smith), currently associated with Calton & Associates, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Smith 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 $85,339.41 on April 15, 2021.

Client alleged recommendations & strategy were unsuitable . Date of activity leading to the allegations was 2010

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Marina Tudela (Tudela), currently associated with Raymond James & Associates, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Tudela 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 $150,000.00 on April 16, 2021.

Time frame: From 2011 through 2017. Claimant alleges his investments in Puerto Rico municipal bonds were unsuitable, over-concentrated, and misrepresented as safe investments.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Jacob (Jacob), previously associated with Saxony Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Jacob 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 $9,000.00 on April 16, 2021.

Claimants alleged the representative failed to make\<char_lb_r>\, suitable recommendations and failed to conduct adequate due diligence before recommending investments.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Senglaub (Senglaub), currently associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Senglaub 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 $342,000.00 on April 22, 2021.

Claimants allege the registered representative recommended alternative investments that were unsuitable.

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