Articles Posted in Reg BI

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jonathan Dickson (Dickson), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Dickson 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 $12,000.00 on January 25, 2022.

Client alleged misreprsentation with respect to rate of fees charged on managed accounts  2012 – 202121

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Anthony Giuliano (Giuliano), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Giuliano 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 January 24, 2022.

During the period of 2015-2022, Claimant alleges breach of fiduciary duty and negligence relating to the sale of real estate investment trusts.

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

FINRA BrokerCheck shows a settled customer complaint on January 29, 2022.

The complainant alleges that his registered representative, on or about December 2021, transferred the wrong amount of money, out of the wrong variable annuity, resulting in a loss.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kim Dingee (Dingee), previously associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Dingee 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 $99,999.99 on January 21, 2022.

Claimant alleges that she was sold an unsuitable, risky and complex alternative investment product, FSKR

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Shawn Nelson (Nelson), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Nelson 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 $24,049.00 on January 26, 2022.

Customer alleged that instruction to liquidate account was not immediately followed, resulting in value of account after full liquidation being lower than it should have been if it had been immediately liquidated. Customer requested reimbursement for the difference in value. Activity period – 12/17/21 to 1/26/22

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Chandler (Chandler), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Chandler 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 $100,000.00 on January 27, 2022.

Poor recommendation and over-concentration of an illiquid investment without conducting reasonable due diligence

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Carbiener (Carbiener), currently associated with Steward Partners Investment Solutions, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Carbiener 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 $7,580.00 on January 29, 2022.

Client alleges the Advisor failed to execute a mutual fund exchange upon request. The Firm found no evidentiary support. While denying the allegations, the Firm decided to settle the matter.

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

FINRA BrokerCheck shows a settled customer complaint on January 21, 2022.

Time Frame: 2012-2019 \, \, Allegations: POA for Claimant alleges FA Barrios invested in unsuitable speculative start up software company, provided falsified account statements to Claimant, and misappropriated Claimant’s funds invested.

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

FINRA BrokerCheck shows a settled customer complaint on January 24, 2022.

Customer complained that instruction to telephone customer upon receipt of securities was not followed, resulting in lost market proceeds. (1/6/2022-1/24/2022)

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jerry Tuma (Tuma), currently associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Tuma 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 $200,000.00 on January 21, 2022.

Claims investment was not suitable and was not in line with stated objectives.

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