Articles Posted in Reg BI

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

FINRA BrokerCheck shows a pending customer complaint on April 05, 2025.

Client alleges financial advisor misrepresented UMA program.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ronald Looney (Looney), currently associated with Raymond James Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Looney 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 $10,000.00 on April 07, 2025.

The client alleged the advisor misrepresented the annuity return. 03/26/2024 – 04/06/2024

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stacy Bush (Bush), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bush 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 $35,000.00 on April 05, 2025.

Customer alleges that an investment made in 2014 was unsuitable for the customer’s investment objectives and risk tolerance.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Keith Berenguer (Berenguer), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Berenguer 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 $5,750.11 on April 04, 2025.

The client alleged that the advisor failed to follow their instructions to liquidate their qualified Active Portfolio account on March 21, 2025.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Towne (Towne), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Towne 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 $41,000.00 on April 09, 2025.

Reg BI – The client’s alleges the advisor did not act in the client’s best interest when recommending two positions in 2015 that did not perform well and should have kept the client apprised of the investments’ performance.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eric Takao (Takao), currently associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Takao 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 $15,420.23 on April 07, 2025.

The customer alleges that the allocation of her funds within her variable annuity purchased in February 2025 was not in line with her wishes, and that she was misled on the amount she would receive if she exercised the “free-look” provision of her contact.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ronald Hicks (Hicks), previously associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hicks 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 $5,000.00 on April 07, 2025.

Client alleges the RR made misrepresentations in connection with variable annuities purchased in 2019 and 2020.

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

FINRA BrokerCheck shows a pending customer complaint on April 09, 2025.

Client alleges investment recommendations were not in their best interest from February 2022 to April 2022

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Clark (Clark), previously associated with LPL Enterprise, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Clark 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 $18,000.00 on April 14, 2025.

This matter is being reported consistent with finra rules pertaining to the reporting of certain written customer complaints. The company by this filing makes no allegations regarding the actions of the representative. Customer alleges the policy sold was not suitable for the customer’s age.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jordan Rider (Rider), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Rider 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 $120,000.00 on April 11, 2025.

Reg BI – alleges that FA mismanaged accounts and failed to disclose risks of of investments, suitability concerns

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