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

FINRA BrokerCheck shows a settled customer complaint on October 14, 2020.

Time Frame:  March 20, 2020\<char_lb_r>\, \<char_lb_r>\, What were the allegations against the individual? \<char_lb_r>\, The client alleges unauthorized trading. The alleged damages are estimated to be in excess of $5,000.00

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Currently financial advisor Amanda Ton (Ton), currently employed by brokerage firm Usca Securities LLC has been subject to at least one disclosable event. These events include one customer complaint. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments such as direct participation products (DPPs) like business development companies (BDCs), non-traded real estate investment trusts (REITs), oil & gas programs, annuities, and private placements.  The attorneys at Gana Weinstein LLP have represented hundreds of investors who suffered losses caused by these types of high risk, low reward products.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $100,000.00 on October 13, 2020.

Clients filed arbitration against USCA Securities alleging negligence, professional negligence, violations of law, negligent supervision, breach of contract, breach of fiduciary duty, and breach of securities industry rules and regulations in connection with an oil and gas private placement investment recommended by Ms. Ton.

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

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

The customer alleges unsuitable investment recommendations in March 2020.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Broten (Broten), previously associated with Newbridge Securities Corporation, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Broten recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on October 13, 2020.

Without admitting or denying the findings, Broten consented to the sanction and to the entry of findings that he refused to provide on-the-record testimony requested by FINRA in connection with its investigation into his potentially unsuitable and unauthorized trading while associated with a member firm.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Herbert Hafen (Hafen), previously associated with Wells Fargo Clearing Services, LLC, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Hafen 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 October 13, 2020.

Customer seeking to be reimbursed for unsuitable investments that FA made in her account.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ellen Boortz (Boortz), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Boortz 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 $63,899.72 on October 20, 2020.

Plaintiff alleges Defendants unilaterally closed her investment account without authorization and withheld taxes causing an immediate tax consequence of $22,661.76. Plaintiff further alleges the transaction was made without explaining tax consequences or penalties. Plaintiff alleges when she requested that Defendants reinstate her account and refund the withheld taxes her request was refused.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Conor Sheehan (Sheehan), previously associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Sheehan 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 October 20, 2020.

Client alleges advisor did not invest assets as directed.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gary Nethen (Nethen), currently associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Nethen 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 $48,000.00 on October 19, 2020.

The policyowners questioned the suitability of the recommendation to replace their old variable annuity policies purchased in 2010 with two new variable annuity policies purchased in 2020 with new 9 year surrender charges funded by selling their former policies at losses of $25,000 and $23,000, respectively and request a review.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Adam Tafoya (Tafoya), previously associated with First Heartland Capital, INC., has at least one disclosable event. These events include one customer complaint, alleging that Tafoya 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 $17,158.28 on October 20, 2020.

The customer questioned the suitability of the variable annuity policy that she purchased in March 2015 recommended by the RR. The customer requested to surrender the policy and waive the surrender charges and any penalties.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Todd Barnthouse (Barnthouse), currently associated with Smith, Moore & CO., has at least one disclosable event. These events include one customer complaint, alleging that Barnthouse 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 $30,000.00 on October 15, 2020.

Customer alleges unsuitable alternative investment recommendation. Activity Period:  2/6/2014 – 9/17/2020.

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