Articles Posted in Reg BI

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Mariani (Mariani), previously associated with Aegis Capital Corp., has at least 6 disclosable events. These events include 4 customer complaints, 2 regulatory, alleging that Mariani recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on February 03, 2025.

Respondent Mariani failed to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA request to provide information concerning the status of compliance.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Reimer (Reimer), currently associated with Dominari Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Reimer 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 January 29, 2025.

Breach of Fiduciary Duty and Negligence.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Fasciglione (Fasciglione), previously associated with Aegis Capital Corp., has at least 10 disclosable events. These events include 7 customer complaints, 3 regulatory, alleging that Fasciglione recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on February 03, 2025.

Respondent Fasciglione failed to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA request to provide information concerning the status of compliance.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Viktoriia Strange-vitkovska (Strange-vitkovska), currently associated with Key Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Strange-vitkovska 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 $117.60 on January 29, 2024.

With regard to a term life insurance policy purchased in September 2023, the Policy owner executed an affidavit of forgery and claims that she did not sign the life insurance application, illustration and labslip documents and did not authorize the purchase of the policy. She requested to surrender the policy.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jacob Cazier (Cazier), previously associated with J.w. Cole Financial, Inc., has at least 4 disclosable events. These events include 4 customer complaints, alleging that Cazier 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 $14,400,000.00 on February 26, 2024.

Allegations against the Firm for failing to detect an alleged fraud operated away from the Firm by a deceased representative that was with the Firm for less than two months. Claimants invested with the other representative after his departure from the Firm. Claimants allege Registered Representative was indirectly involved.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Anthony Lopez (Lopez), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lopez 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 $66,490.22 on October 23, 2024.

The client alleged that his Variable Universal Life (VUL) Insurance policy was misrepresented to him as he was not aware of the high premiums he would pay, the potential of adverse tax implications of making said premium payments and the sustainability of his accounts to be able to fund the policy.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Benjamin Person (Person), currently associated with Osaic Wealth, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Person 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 $20,000.00 on March 14, 2023.

Clients allege poor advice concerning the exchange of life insurance policies to variable annuities.

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

FINRA BrokerCheck shows a pending customer complaint on October 02, 2024.

Client alleges the fees and commissions for the product she purchased were misrepresented.

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

FINRA BrokerCheck shows a settled customer complaint on February 28, 2023.

Client alleges that the advisor invested in ETF instruments and did not follow the clients instructions, resulting insignificant unrealized losses. The dates of the activity leading to the allegations are January 25, 2022, through March 10, 2023, per filing by Vanguard.

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

FINRA BrokerCheck shows a final customer complaint on April 02, 2024.

Making a materially false statement on the application for registration

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