Articles Posted in Reg BI

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Russell (Russell), previously associated with Morgan Stanley, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Russell recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on February 20, 2024.

Client alleges, inter alia, that a mutual fund was purchased in their account without their authorization 2021

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Vaughn (Vaughn), previously associated with the Strategic Financial Alliance, INC., has at least one disclosable event. These events include one customer complaint, alleging that Vaughn 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 $100,000.00 on February 22, 2024.

Claimants allege breach of fiduciary duty, negligence, and negligent supervision between 2019 and 2022.

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

FINRA BrokerCheck shows a settled customer complaint on March 06, 2024.

The Customer alleges he was misled when he purchased a variable universal life policy in December 2022.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jason Mitsuda (Mitsuda), currently associated with LPL Enterprise, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mitsuda 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 $499,000.00 on March 08, 2024.

Claimants allege RR Mitsuda recommended unsuitable investment products.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Beck (Beck), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Beck 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 $149,476.40 on March 06, 2024.

Claimant alleges that an investment recommendation was unsuitable based upon his investment profile; claimant further alleges that the investment was misrepresented. The investment was made in January 2023.

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

FINRA BrokerCheck shows a settled customer complaint on March 07, 2024.

The policyowners allege the variable annuities they purchased in June and July 2021 respectively do not meet their retirement needs and request to terminate the variable annuity policies and waive or modify the surrender charges.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Cindy Ghattas (Ghattas), previously associated with Waddell & Reed, has at least one disclosable event. These events include one customer complaint, alleging that Ghattas 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 $1,000,000.00 on March 06, 2024.

Alleged breach of fiduciary duty, negligence/gross negligence, negligent misrepresentation, intentional misrepresentations/omissions, breach of contract, violation of the North Carolina Securities Act, and violation of the Kansas Securities Act regarding options trading from February 2017 to September 2023.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Westberry (Westberry), previously associated with Scf Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Westberry 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 $25,000.00 on March 08, 2024.

The Statement of Claim alleges the financial professional recommended a speculative, illiquid, high commission product that was unsuitable for the clients. It is alleged this recommendation exposed clients to unnecessary risk.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Edmund Hughes (Hughes), currently associated with Pnc Investments, has at least one disclosable event. These events include one customer complaint, alleging that Hughes 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 $210,000.00 on March 08, 2024.

Client alleges representative did not inform her of tax consequences of recommended transaction.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Carty Campbell (Carty Campbell), previously associated with Commonwealth Financial Network, has at least one disclosable event. These events include one customer complaint, alleging that Carty Campbell 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 $40,000.00 on March 06, 2024.

Client alleging advisor sold unsuitable alternative investments.

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