Articles Posted in Reg BI

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sean Sullivan (Sullivan), previously associated with Sovereign Global Advisors LLC, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Sullivan recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on October 17, 2024.

Time frame: Unspecified. Claimants allege breach of fiduciary duty, breach of contract, and elder abuse.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jonathan Gazdak (Gazdak), currently associated with Alexander Capital, L.p., has at least one disclosable event. These events include one customer complaint, alleging that Gazdak 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 $1,694,000.00 on October 17, 2024.

Alleges: Breach of Fiduciary Duty, Fraudulent Inducement, Negligence, Breach of Contract, Violation of FINRA Rule 2010, Equity

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dimitry Tikhonov (Tikhonov), currently associated with Madison Avenue Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Tikhonov 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 $400,000.00 on October 17, 2024.

Unsuitable recommendations of alternative investments.

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

FINRA BrokerCheck shows a pending customer complaint on October 18, 2024.

Customer alleges representative failed to follow instructions. Time period: 2017-2023.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Todd Welsh (Welsh), currently associated with Level Four Financial, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Welsh 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 $100,000.00 on October 18, 2024.

Time frame: December 2010 to 2023 Allegations: Claimant’s counsel alleges UBS failed to do adequate due diligence on a fund of funds, which counsel alleges was unsuitable for any investor, and as a result all relevant risks were not disclosed to investors.

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

FINRA BrokerCheck shows a pending customer complaint on October 17, 2024.

Claimants allege unsuitable investment recommendations which resulted in losses.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Duggan (Duggan), previously associated with Aegis Capital Corp., has at least 3 disclosable events. These events include 3 customer complaints, alleging that Duggan recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on October 17, 2024.

Time frame: Unspecified. Claimant alleges breach of fiduciary duty, and breach of contract.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Amato (Amato), currently associated with Alexander Capital, L.p., has at least one disclosable event. These events include one customer complaint, alleging that Amato 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 $1,694,000.00 on October 17, 2024.

Breach of Fiduciary Duty, Fraudulent Inducement, Negligence, Breach of Contract, Violation of FINRA Rule 2010, Equity. February 2021.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Carlos Garcia (Garcia), currently associated with Kovack Securities Inc., has at least one disclosable event. These events include one customer complaint, alleging that Garcia 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 $107,000.00 on October 17, 2024.

Client expressed dissatisfaction with RR’s hold recommendation which resulted in unrealized losses.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Shawn Weadock (Weadock), currently associated with Alexander Capital, L.p., has at least one disclosable event. These events include one customer complaint, alleging that Weadock 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 $1,694,000.00 on October 17, 2024.

Alleges: Breach of Fiduciary Duty, Fraudulent Inducement, Negligence, Breach of Contract, Violation of FINRA Rule 2010, Equity. February 2021.

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