Articles Posted in Reg BI

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Hagen (Hagen), currently associated with D.h. Hill Securities, Lllp, has at least one disclosable event. These events include one customer complaint, alleging that Hagen 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 $115,000.00 on January 20, 2021.

Claimants allege negligence, violations of law, unsuitable recommendations, negligent supervision, breach of contract, breach of fiduciary duty, and breach of industry rules and regulations.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Lane (Lane), currently associated with Cetera Wealth Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lane 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 $27,000.00 on January 20, 2021.

Claimant alleges Respondent misrepresented, over-concentrated and recommended unsuitable investment.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Huisinga (Huisinga), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Huisinga 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 20, 2021.

Claimant alleges that purchases of alternative investments and annuities at a prior broker-dealer were unsuitable. Activity Period 4/2013 – 1/2021.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Charles Morris (Morris), currently associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Morris 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 $7,756.34 on January 19, 2021.

Customer alleges the Variable Annuity policy she purchased in April 2019 was originally understood to be a rollover of her existing annuity with her previous broker-dealer and that she did not understand that a new surrender period had been created. Customer further alleges that the fees associated with this policy are further eroding her balance therefore she is requesting a surrender of this policy without any fees as well as a reimbursement of any fees associated with this annuity.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Harrison Nathan (Nathan), currently associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Nathan 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, 2021.

The complainant alleges that beginning in or around 2012, his portfolio was churned when inappropriate transactions were made in an effort to maximize the rep’s commissions at his expense.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Peter Ianace (Ianace), previously associated with Wells Fargo Clearing Services, LLC, has at least 3 disclosable events. These events include 2 customer complaints, one regulatory event, alleging that Ianace 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 $18,000,000.00 on January 25, 2021.

The customers allege unsuitable investment recommendations and misrepresentations from February 2013 until December 2019.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Roy Nazaroff (Nazaroff), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Nazaroff 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 $32,000.00 on January 19, 2021.

Claimant alleges that the purchase of one reit investment in 2014 was unsuitable. Activity period:  12/2014 – 1/2021.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Anthony Livorio (Livorio), previously associated with Trustmont Financial Group, INC., has at least one disclosable event. These events include one customer complaint, alleging that Livorio 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 $9,000.00 on January 25, 2021.

Failure to follow instructions from the client.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nathan Foret (Foret), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Foret 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 $75,000.00 on January 25, 2021.

Claimants allege that their advisor recommended that they utilize margin in their accounts that was not suitable for them and caused an increase in the management fees that they paid on their accounts. Claimants also allege their advisor recommended an unsuitable security in an account and overconcentrated a position a separate account.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Patrick Kinder (Kinder), previously associated with Allstate Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kinder 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, 2021.

The complainant alleges beginning in or around 2001, his portfolio was churned when inappropriate transactions were made in an effort to maximize the rep’s commissions at his expense.

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