Articles Posted in Reg BI

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

FINRA BrokerCheck shows a settled customer complaint on August 16, 2022.

Time Frame: July 15, 2022\, \, What were the allegations against the individual? The client alleges his Financial Advisor did not follow instructions and failed to enter a trade. 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 James Dunn (Dunn), previously associated with Ameriprise Financial Services, LLC, has at least 17 disclosable events. These events include 16 customer complaints, one regulatory event, alleging that Dunn recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on August 17, 2022.

Without admitting or denying the findings, Dunn consented to the sanction and to the entry of findings that he refused to provide information and documents requested by FINRA. The findings stated that this matter originated from FINRA’s review of a Uniform Termination Notice for Securities Industry Registration (Form U5) filed by Dunn’s member firm disclosing that he had voluntarily resigned while under review for potential violation of company policy related to suitability, unauthorized trades and texting with clients.

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

FINRA BrokerCheck shows a settled customer complaint on August 17, 2022.

Customer alleges that she was misled during the sale of a variable annuity purchased in September 2021.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Volini (Volini), currently associated with Cetera Wealth Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Volini 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 $50,000.00 on August 21, 2022.

Claimant states claims for fraud, breach of fiduciary duty, negligence and breach of contract and alleges damages of $50,000, and also seeks pre-judgment and post-judgment interest for Claimant’s loss of use of his capital, and costs and fees.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Casey (Casey), previously associated with Allstate Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Casey 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 $6,000.00 on August 17, 2022.

Customer has alleged he instructed registered representative to invest his non-qualified $50,000 in a safe harbor until the market dropped and that the representative did the exact opposite by placing him in a variable annuity. Customer has requested to be made whole and has claimed damages of (market value) loss in contract.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Anne Martin Gash (Martin Gash), previously associated with Ameriprise Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Martin Gash 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 $180,000.00 on August 18, 2022.

The client alleged the advisor misled them on the sale of a variable annuity in July 2013.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Barbuto (Barbuto), previously associated with Charles Schwab & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Barbuto 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 $54,531.13 on August 22, 2022.

Client alleges representative did not disclose fees associated with an advised offering and requested a refund of fees in the amount of $54,531.13.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Paul Kim (Kim), currently associated with Stifel, Nicolaus & Company, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Kim 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 $1,450,000.00 on August 19, 2022.

Clients allege registered representative did not follow instructions, resulting in $1.7 million in losses from January 2022 through the present. Claimants’ Statement of Claim asserts causes of action for breach of fiduciary duty, negligence, fraud, breach of contract, third-party beneficiary breach of contract, violation of state securities statutes, violation of Reg BI, and negligent supervision, and requests $1.45 million in damages.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sarabjeet Thapar (Thapar), currently associated with World Investments, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Thapar recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on August 16, 2022.

Clients allege negligence, breach of contract, breach of fiduciary duty, unjust enrichment

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ushir Mehta (Mehta), previously associated with Td Ameritrade, INC., has at least one disclosable event. These events include one customer complaint, alleging that Mehta 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 $54,531.13 on August 22, 2022.

Client alleges representative did not disclose fees associated with an advised offering in 2013 and requested a refund of fees in the amount of $54,531.13

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