Articles Posted in Reg BI

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Anthony Couch (Couch), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Couch 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 $64,080.00 on July 11, 2022.

Plaintiffs allege breach of fiduciary duty with regard to the rollover of an annuity that created a tax liability.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Gaffney (Gaffney), previously associated with Cetera Advisors LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Gaffney 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 July 18, 2022.

SUITABILITY

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

FINRA BrokerCheck shows a settled customer complaint on July 12, 2022.

The client alleges she purchased CDs in 2021 because the FA told her she would not have to pay any penalties to sell the CDs due to her age.

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

FINRA BrokerCheck shows a settled customer complaint on July 15, 2022.

Claimant alleges their registered representative made unsuitable investments. Claimant further alleges failure to supervise and fraudulent new account documents.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daintry Price (Price), currently associated with LPL Financial LLC / Hub International Investment Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Price 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 July 11, 2022.

Deceased client’s heirs are alleging an estimated  $100,000.00 loss due to a delayed account liquidation as part of an estate settlement.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Stevens (Stevens), currently associated with IBN Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Stevens 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 $4,300,000.00 on July 13, 2022.

Unsuitable product recommendation, insufficient product due diligence

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lok Kei Kelvin Wong (Wong), previously associated with Td Ameritrade, INC., has at least one disclosable event. These events include one customer complaint, alleging that Wong 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 $200,000.00 on July 26, 2022.

Claimant alleges they were over concentrated in unsuitable and illiquid alternative investments, which resulted in losses

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

FINRA BrokerCheck shows a settled customer complaint on July 21, 2022.

CLIENT ALLEGES THAT THEIR INSTRUCTIONS TO LIQUIDATE THEIR ACCOUNT IN APRIL 2022 WERE NOT FOLLOWED. DAMAGES UNSPECIFIED

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Benjamin Julianel (Julianel), currently associated with Valmark Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Julianel 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 $5,000.00 on July 18, 2022.

Client alleges rep fully liquidated his account on 6/21/2022 in direct contravention to his directives

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ernesto Arcos (Arcos), currently associated with PFS Investments INC., has at least one disclosable event. These events include one customer complaint, alleging that Arcos 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 July 18, 2022.

I MISTAKENLY ENTERED THE CLIENT’S BANK ACCOUNT INFORMATION, CAUSING HIS REDEMPTION TO BE TRANSFERED TO ANOTHER INDIVIDUAL’S BANK ACCOUNT.

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