Articles Posted in Reg BI

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

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

Clients allege sale of unsuitable investments.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Arnone (Arnone), currently associated with Northwestern Mutual Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Arnone 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 $65,000.00 on November 13, 2024.

Customer dissatisfied with the performance of his managed investment advisory accounts.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Raymond Brown (Brown), previously associated with Northwestern Mutual Investment Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Brown recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on November 13, 2024.

Customer alleges that in or around November 2023, the Representative misled the customer in the sale of a variable universal life insurance policy. Customer asserts the rep didn’t provide any investment diversification the customer sought and only recommended life insurance.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Marc Korsch (Korsch), previously associated with Arkadios Capital, has at least 12 disclosable events. These events include 12 customer complaints, alleging that Korsch 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 $40,000.00 on November 13, 2024.

The customer alleges that in November 2020, the Registered Representative recommended and misrepresented an unsuitable, high-risk, illiquid investment and breached his fiduciary duty.

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

FINRA BrokerCheck shows a pending customer complaint on November 13, 2024.

Claimant alleges REIT purchased was unsuitable.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Norbert Kozma (Kozma), currently associated with Craft Capital Management LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kozma 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 $65,000.00 on November 18, 2024.

Oct 2024 Previous employee firm I-Bankers received a written customer complaint against Mr. Kozma alleging Unsuitable recommendations in listed equities. I-Bankers found after investigating that the complaint was without merit as presented on his U5 submission at the end of Oct 2024.

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

FINRA BrokerCheck shows a pending customer complaint on November 13, 2024.

Claimant alleges REIT purchased was unsuitable.

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

FINRA BrokerCheck shows a pending customer complaint on November 13, 2024.

Claimant alleges REIT purchased was unsuitable.

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

FINRA BrokerCheck shows a pending customer complaint on November 13, 2024.

Claimant alleges REIT purchased was unsuitable.

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

FINRA BrokerCheck shows a pending customer complaint on November 13, 2024.

Claimant alleges REIT purchased was unsuitable.

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