Articles Posted in Reg BI

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

FINRA BrokerCheck shows a pending customer complaint on March 14, 2024.

Arbitration: Claimants allege that in or about February 2022, the financial advisor recommended they take out a loan through their investment account to pay off a building mortgage and the financial advisor made poor investment choices Complaint: Attorney for two linked entities complained the financial advisor invested funds without authorization and advised using a loan against securities, resulting in losses. (9/14/2022-6/30/2023).

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Pamela Lizanich (Lizanich), previously associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lizanich 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 $499,999.00 on March 14, 2024.

Claimants allege the Representative recommended illiquid, complex and unsuitable alternative investments. Further, claimant alleges that representative altered forms and made materially false and misleading statements regarding the investments.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Adriano Pisarri (Pisarri), currently associated with the Leaders Group, INC., has at least one disclosable event. These events include one customer complaint, alleging that Pisarri 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 $15,000.00 on March 13, 2024.

Claimant alleges RR Pisarri made misrepresentations and unsuitable recommendations in connection with a REIT.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Evan Kirkpatrick (Kirkpatrick), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kirkpatrick 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 $300,000.00 on March 15, 2024.

Customer alleges representative recommended alternative 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 Anthony Mesquit (Mesquit), currently associated with Fidelity Brokerage Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mesquit recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint with a damage request of $49,950.00 on March 14, 2024.

Customer alleges receiving incorrect information prior to agreeing to a managed account solution.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eric Marshall (Marshall), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Marshall 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 $75,000.00 on March 18, 2024.

Claimant alleges unsuitable recommendation and sale of alternative investment and unauthorized trading in bond portfolio.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ashley Woodard (Woodard), previously associated with Nylife Securities LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Woodard 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 $499,999.00 on March 14, 2024.

Claimants allege the Representative recommended illiquid, complex and unsuitable alternative investments. Further, claimant alleges that representative altered forms and made materially false and misleading statements regarding the investments.

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

FINRA BrokerCheck shows a pending customer complaint on March 15, 2024.

Customer alleges that former FA made a misrepresentation of an annuity contract in 2010 and that current FA failed to correct

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ronald Kummerer (Kummerer), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Kummerer 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 $315,872.00 on March 15, 2024.

The client alleges an unsuitable investment strategy

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

FINRA BrokerCheck shows a settled customer complaint on March 14, 2024.

Plaintiff alleges the RR made unsuitable recommendations when she was advised to transfer her retirement funds to an advisory account and to purchase a Jackson National variable annuity.

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