Articles Posted in Reg BI

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eric Snyder (Snyder), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Snyder 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 $205,165.00 on November 03, 2020.

Allegations as stated by Claimant:         Time frame: Unspecified\<char_lb_r>\, \<char_lb_r>\, Allegations: Claimant alleges the recommendation to hold Puerto Rico Municipal Bonds and Closed-End Funds was unsuitable, and that her accounts were unsuitably over-concentrated in those investments. Claimant further alleges that the risk of concentration in Puerto Rico investments was misrepresented.

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

FINRA BrokerCheck shows a settled customer complaint on November 10, 2020.

Custoer alleges misrepresentation of potential tax liability associated with investment. Activity period:  2/27/17 to 11/20/20.

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

FINRA BrokerCheck shows a settled customer complaint on November 05, 2020.

Trustee alleges that they did not authorize trades in their trust account in November 2019 which resulted in significant tax ramifications   damages unspecified

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

FINRA BrokerCheck shows a settled customer complaint on November 05, 2020.

Client alleges FA made misrepresentation regarding mutual fund holdings from January 2020 to October 2020.

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

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

Claimant alleges various claims arising from the registered representative’s purported failure to follow the claimant’s investment instructions in April 2020.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sam Paolini (Paolini), previously associated with Hornor, Townsend & Kent, INC., has at least one disclosable event. These events include one customer complaint, alleging that Paolini 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 $141,222.00 on November 13, 2020.

Client alleges that she was pressured into purchasing a whole life insurance policy by the former financial professional and is requesting a return of the total premiums paid. The client also alleges that she gave the financial professional checks payable to the financial professional for outside investments, and has been reimbursed in full.

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

FINRA BrokerCheck shows a award / judgment customer complaint with a damage request of $4,000,000.00 on November 13, 2020.

Customer alleges that representative engaged in fraudulent conduct including misappropriation by forgery and/or alteration of documents. Activity period – 9/2011 to 12/2012.

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

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

Customers allege the representative made recommendations that did not meet the clients’ needs and allegedly caused losses.

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

FINRA BrokerCheck shows a settled customer complaint on November 16, 2020.

Claimant alleges unsuitable investment recommendations.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Mcguire (Mcguire), previously associated with American Portfolios Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Mcguire 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 $55,000.00 on November 16, 2020.

Claimant alleges that two alternative investments were unsuitable.

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