Articles Posted in Reg BI

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Groff (Groff), currently associated with Charles Schwab & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Groff 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 $25,000.00  on March 04, 2020.

Client alleges on February 18, 2020, she provided instructions to the representative to sell the etf’s in her account and leave the funds in cash; instead he purchased shares of various securities with the proceeds.

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

FINRA BrokerCheck shows a settled customer complaint on March 04, 2020.

The clients allege that the representative made an unsuitable recommendation for an account that was opened in March 2018. The clients further allege that the representative indicated funds would be interest free upon withdrawal which they later learned was not accurate. The clients have requested that the account be closed.

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

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

The client alleges that the representative recommended a reduction in the client’s exposure to stocks and bonds on February 14, 2020 and that the representative failed to timely make these changes even after the client indicated in an email to the representative that he wanted to make the changes on March 2, 2020.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Luis Garcia (Garcia), previously associated with UBS Financial Services 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 settled customer complaint with a damage request of $120,000.00  on March 04, 2020.

Time frame:  Unspecified\<char_lb_r>\, Claimant alleges her investments in Puerto Rico closed-end funds were unsuitable, over-concentrated, and misrepresented as safe investments.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Schuh (Schuh), previously associated with Northland Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Schuh 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 $50,283.77  on March 05, 2020.

Improper management, excessive trading and excessive commissions from approximately 01/01/2015 to 12/31/2019.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Horan (Horan), previously associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Horan 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 $13,160.68  on March 03, 2020.

Client alleges purchases in Waitr Holdings (WTHR) were unsuitable, and as a result of the June 12, 2018 and October 2, 2018 purchases she has an unrealized loss of $10,000.00. Client additionally alleges the fee she agreed upon in her signed contract (1.25%) was more than discussed (1.00%)

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

FINRA BrokerCheck shows a settled customer complaint on March 06, 2020.

Customer alleges the Variable Annuity policy she purchased in June 2018 contains a multitude of restrictions that were not clearly explained to her at the time of sale.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Danny Sookram (Sookram), previously associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Sookram 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 $86,078.00  on March 09, 2020.

Time frame: unspecified. Claimant alleges unsuitability, breach of contract, breach of fiduciary duty.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Buffington (Buffington), previously associated with Aegis Capital Corp., has at least one disclosable event. These events include one customer complaint, alleging that Buffington 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 $642,224.00  on March 09, 2020.

Time frame: unspecified. Claimant alleges unsuitability, breach of contract, breach of fiduciary duty.

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

FINRA BrokerCheck shows a settled customer complaint on March 09, 2020.

Time Frame: February 20, 2020 to March 9, 2020   \<char_lb_r>\, The client alleges his instructions to enter his trades were not followed.

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