Articles Posted in Reg BI

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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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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Clarisse Tur (Tur), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Tur recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on November 09, 2023.

The customer alleges unauthorized trading in account in May 2023.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Tony Tolene (Tolene), currently associated with Infinity Financial Services, has at least one disclosable event. These events include one customer complaint, alleging that Tolene 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 $5,000.00 on November 10, 2023.

A consumer initiated complaint was filed against Tony Tolene by one of Tony Tolene’s sisters on behalf of Tony Tolene’s Mother. The consumer initiated complaint details several allegations including allegations that Tony Tolene stole from his mother, father, and brother by withdrawing funds without their permission. The allegations also state that Tony persuaded a client to buy a home for Tony.

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

FINRA BrokerCheck shows a pending customer complaint on November 07, 2023.

Customer alleges the Variable Annuity policy he purchased in May 2023 has a long holding period that does not provide liquidity. He further alleges that this product does not take into consideration his age or his limited knowledge of the product.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Shaw (Shaw), currently associated with Cetera Advisor Networks LLC, has at least one disclosable event. These events include one customer complaint, alleging that Shaw 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 $99,093.00 on November 08, 2023.

Client’s daughter alleged her mother’s account was invested too aggressively and lost significant value.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Justin May (May), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that May 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 $395,000.00 on November 09, 2023.

Claimant alleges that during the approximate time period 2019-2022, representative recommended investments that were unsuitable for the customer’s investment profile and risk tolerance.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Celeste Leung (Leung), previously associated with Cambridge Investment Research, INC., has at least one disclosable event. These events include one customer complaint, alleging that Leung 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 $1,000,000.00 on November 09, 2023.

NOTE: Updating Occurrence 2309665 to change the alleged damage amount to $1,000,000 and to update status. Customer alleges misrepresentation regarding variable annuity investment. Activity dates 12.28.21 – 12.28.21.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lawrence Waller (Waller), previously associated with Stonex Securities INC., has at least one disclosable event. These events include one customer complaint, alleging that Waller 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 $135,000.00 on November 09, 2023.

Claimant alleges breach of fiduciary duty caused by failure to properly asset allocate and diversify assets.

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