Articles Posted in Reg BI

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Barrett (Barrett), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Barrett 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 $19,587.00  on April 06, 2020.

Client alleges misrepresentation regarding variable annuity investment. Activity dates 02/24/2020- 03/27/2020.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeff Kramer (Kramer), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Kramer 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 $300,000.00  on April 07, 2020.

Attorney alleged, inter alia, excessive trading with respect to investments in account – January 2018 thru December 2019

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

FINRA BrokerCheck shows a settled customer complaint on April 02, 2020.

The client alleges that the Financial Advisor failed to move to cash in their individual account as requested but rather moved them to a bond fund and that he placed trades on 3/12 not 3/9.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Krumrey (Krumrey), previously associated with Oppenheimer & CO. INC., has at least one disclosable event. These events include one customer complaint, alleging that Krumrey 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 $300,000.00  on April 02, 2020.

Claimants allege claims for breach of fiduciary duty, negligence and breach of contract in connection with the management of their account.From 1/1/2016 – 12/31/2017

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sean Grubb (Grubb), currently associated with Northwest Investment Advisors, 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 on April 06, 2020.

Failure to supervise.\<char_lb_r>\, September 2015 to March 2020

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

FINRA BrokerCheck shows a settled customer complaint on April 02, 2020.

The customer alleges unsuitable investment recommendations January 2020 until April 2020.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Valdes (Valdes), currently associated with Lincoln Investment, has at least one disclosable event. These events include one customer complaint, alleging that Valdes 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 03, 2020.

Clients allege they met with their registered representative on March 9, 2020 to request their accounts be moved to a fixed interest option. The requested transactions were not performed by the registered representative, causing their accounts to incur market losses.

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

FINRA BrokerCheck shows a settled customer complaint on April 06, 2020.

Client complains that his realized gains were exceptionally high, despite being assured by his financial advisor that he would have no capital gains issues. Time frame is 6/2019 thru 12/2019.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Hillary Wertlieb (Wertlieb), currently associated with A.g.p. / Alliance Global Partners, has at least one disclosable event. These events include one customer complaint, alleging that Wertlieb recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on April 02, 2020.

Breach of fiduciary duty, negligence, and breach of contract.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Burton Apfelbaum (Apfelbaum), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Apfelbaum 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 $35,000.00  on April 03, 2020.

Customer alleges a failure to follow instructions to move accounts to cash. Activity period:  2/27/20 to 4/3/20.

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