Articles Posted in Reg BI

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

FINRA BrokerCheck shows a settled customer complaint on May 21, 2020.

Power of Attorney for client complained that the securities in the client’s account were not suitable. (9/8/2016-5/21/2020)

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Satya Shaw (Shaw), previously associated with Center Street Securities, INC., 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 $140,000.00 on May 21, 2020.

Unsuitable

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Boyer (Boyer), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Boyer 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 $19,500.00 on May 22, 2020.

The Firm released payment through ACH without client’s consent to pay for unauthorized credit card charges made by the client’s caregiver.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Glenn Childres (Childres), previously associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Childres 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 $400,000.00 on May 22, 2020.

Time frame: Unspecified    \<char_lb_r>\, \<char_lb_r>\, Allegations: Claimant’s counsel alleges unsuitability of certain investments, and that such investments resulted in principal losses.

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

FINRA BrokerCheck shows a settled customer complaint on June 01, 2020.

Client alleges the representative denied him access to make trades on his account. Activity occurred between March 24, 2020, through April 2, 2020.

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

FINRA BrokerCheck shows a settled customer complaint on May 27, 2020.

Client alleges, inter alia, that purchases and concentration of hertz bonds in her portfolio were unsuitable. 2019 – 2020  damages unspecified

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

FINRA BrokerCheck shows a settled customer complaint on May 28, 2020.

Client verbally alleged misrepresentation with respect to mutual fund investment  – March 2020.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Margaret Wiley (Wiley), currently associated with Steward Partners Investment Solutions, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Wiley 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 $7,811.36 on May 28, 2020.

Client alleges advisor misrepresented annuity payout options. Alleged Activity dates: 12/19/19 – 2/01/2020.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Molly Grubb (Grubb), previously associated with Cambridge Investment Research, INC., has at least one disclosable event. These events include one customer complaint, alleging that Grubb 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 May 29, 2020.

Clients allege that RR misrepresented the products sold to them. Allegations were made that the products purchased were unsuitable for their risk tolerance and inexperienced investing.

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

FINRA BrokerCheck shows a settled customer complaint on June 01, 2020.

Client alleges misrepresentation in the sale of an insurance policy in 2018.

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