Articles Posted in Reg BI

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

FINRA BrokerCheck shows a settled customer complaint on June 13, 2020.

Client alleges rr sold off a portion of his portfolio on March 18, 2020 and March 19, 2020 without his knowledge or consent

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

FINRA BrokerCheck shows a settled customer complaint on June 08, 2020.

Time Frame:  April 23, 2020 to June 08, 2020  \<char_lb_r>\, The client alleges a failure to invest her accounts in a timely manner. The alleged damages are in excess of $5,000.00

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

FINRA BrokerCheck shows a settled customer complaint on June 12, 2020.

Client alleges RR placed trades without her authorization and did not take tax implications into consideration.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Rick Konecny (Konecny), previously associated with National Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Konecny 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 $550,000.00 on June 11, 2020.

Customer alleges that the registered representative invested the account in an unsuitable and over\<char_lb_r>\, concentrated manner. Activity dates 8/2013 – 8/2015.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Samuel Lek (Lek), previously associated with Lek Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Lek 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 $2,804,880.05 on June 12, 2020.

Samuel Lek was named as a respondent in an arbitration against Lek Securities Corp and its employees alleging possible violations of several FINRA rules by the Firm including Rule 2010, 5310, 2150, 3110 from October 2018 to April 2019.

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

FINRA BrokerCheck shows a settled customer complaint on June 09, 2020.

Customer alleged that i failed to follow his instructions regarding a reallocation in his account.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Riley (Riley), previously associated with Silver Oak Securities, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Riley 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 $140,863.40 on June 15, 2020.

Unsuitable investments, demanding payment of $140,863.40 for the loss and attorney’s fees.

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

FINRA BrokerCheck shows a settled customer complaint on June 08, 2020.

The client alleges the representative made a series of recommendations of illiquid, high-commission investments from 2009-2013 which were unsuitable and resulted in over-concentration in these products in their portfolio. In addition the client alleges the firm failed to conduct adequate due diligence relating to United Development Funding and was negligent.

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

FINRA BrokerCheck shows a settled customer complaint on June 09, 2020.

Claimants allege an unsuitable investment strategy between 2013-2015.

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

FINRA BrokerCheck shows a settled customer complaint on June 08, 2020.

Time Frame:  April 23, 2020 to June 08, 2020  \<char_lb_r>\, The client alleges a failure to invest her accounts in a timely manner. The alleged damages are in excess of $5,000.00

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