Articles Posted in Reg BI

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Charles Gore Ii (Gore Ii), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Gore Ii 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 $18,000.00 on May 11, 2021.

Claimants allege that in 2014 representative recommended they invest in a Real Estate Investment Trust (‘REIT’) that was unsuitable for the their risk tolerance and also failed to advise the claimant about the REIT’s risks and commissions.

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

FINRA BrokerCheck shows a settled customer complaint on May 13, 2021.

Client was disappointed she was provided inaccurate information related to charitable gifting from her annuity. 9/8/2020 – 05/13/2021.

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

FINRA BrokerCheck shows a settled customer complaint on May 13, 2021.

In October 2025, the Firm learned of an order dated May 13, 2021 from a civil case wherein it was found that the Representative violated Utah and Federal securities laws by selling unregistered securities without being licensed, and the Representative was ordered to disgorge the commissions received for such sales. The Representative did not disclosed the order to the Firm, nor did he disclose this activity to the Firm. Upon learning of the Order, the Firm terminated the Representative.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Douglass (Douglass), currently associated with Arkadios Capital, has at least one disclosable event. These events include one customer complaint, alleging that Douglass 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 $900,000.00 on May 14, 2021.

Claimant, through Power of Attorney, alleges the registered rep recommended an unsuitable investment. Activity dates 2008-2021.

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

FINRA BrokerCheck shows a settled customer complaint on May 11, 2021.

Client verbally alleged failure to follow instructions with respect to termination the advisory agreement in account – February 2021 to April 2021.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Guilford Nergard (Nergard), previously associated with San Blas Securities LLC, has at least 3 disclosable events. These events include 2 customer complaints, one regulatory event, alleging that Nergard 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 $37,011.47 on May 12, 2021.

Client alleged poor performance due to the management of accounts. Alleged activity dates 06/04/2013-11/06/2020

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

FINRA BrokerCheck shows a settled customer complaint on May 10, 2021.

Unsuitable Investments

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Guillermo Santiago (Santiago), currently associated with Nationwide Planning Associates INC., has at least one disclosable event. These events include one customer complaint, alleging that Santiago 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 $1,200,000.00 on May 14, 2021.

PERIOD 2004 TO JUL 2013. Alleges concentration, misrepresentation, fraud, breach of fiduciary duty, negligence, violations FINRA rules,PR and federal law.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Darrin Farrow (Farrow), previously associated with Triad Advisors, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Farrow 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 May 10, 2021.

Sale of unapproved investment during period of Royal Alliance Associates, Inc. registration is alleged.

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

FINRA BrokerCheck shows a settled customer complaint on May 11, 2021.

Customer alleges the rep did not fully disclose all the facts regarding suitability.

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